BUSH WILLIAM JOHN (Chief Financial Officer) exercised options at STEM, INC.

Option exercise — a mechanical event triggered by vesting or expiry. Not a discretionary conviction trade.

M · 2 exercises

BUSH WILLIAM JOHN

Filed: 3/17/2022ACC: 0001758766-22-000056

InsiderBUSH WILLIAM JOHNCIK 1241516

→

IssuerSTEM, INC.CIK 1758766

Officer· Chief Financial Officer

Since Apr 2021

-93.52K

Net shares

Net seller

$744.4K

Total sold

Open market trades

0B · 0S

Total transactions

180K acquired · 273.52K disposed

Non-Derivative Transactions4

Common Stock, Par Value $0.0001 Per Share

Direct

M · Option Exercise

+105.93K

Price / share

$1.67

Trade value

$176.90K

% of position

35.9%

3/15/2022

294.79K→400.72K

Common Stock, Par Value $0.0001 Per Share

Direct

F · Tax Withholding

−51.70K

Price / share

$7.96

Trade value

$411.56K

% of position

12.9%

3/15/2022

400.72K→349.02K

Common Stock, Par Value $0.0001 Per Share

Direct

M · Option Exercise

+74.07K

Price / share

$2.41

Trade value

$178.51K

% of position

21.2%

3/15/2022

349.02K→423.09K

Common Stock, Par Value $0.0001 Per Share

Direct

F · Tax Withholding

−41.82K

Price / share

$7.96

Trade value

$332.89K

% of position

9.9%

3/15/2022

423.09K→381.27K

Total

Net shares

+86.48K

Net value

-$389.03K

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock, Par Value $0.0001 Per Share Direct	3/15/2022	M · Option Exercise	+105.93K	$1.67	$176.90K	35.9%	294.79K	400.72K
Common Stock, Par Value $0.0001 Per Share Direct	3/15/2022	F · Tax Withholding	−51.70K	$7.96	$411.56K	12.9%	400.72K	349.02K
Common Stock, Par Value $0.0001 Per Share Direct	3/15/2022	M · Option Exercise	+74.07K	$2.41	$178.51K	21.2%	349.02K	423.09K
Common Stock, Par Value $0.0001 Per Share Direct	3/15/2022	F · Tax Withholding	−41.82K	$7.96	$332.89K	9.9%	423.09K	381.27K
Total			+86.48K		-$389.03K

Derivative Transactions2

Stock Option (Right to Buy)

Direct

M · Option Exercise

Converts to

Common Stock, Par Value $0.0001 Per Share

105.93K shares

−105.93K

Strike price

1.67

Held after

896.22K

Exercisable

—

3/15/2022

Stock Option (Right to Buy)

Direct

M · Option Exercise

Converts to

Common Stock, Par Value $0.0001 Per Share

74.07K shares

−74.07K

Strike price

2.41

Held after

822.15K

Exercisable

—

3/15/2022

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Stock Option (Right to Buy) Direct	Common Stock, Par Value $0.0001 Per Share105.93K shares	3/15/2022	M · Option Exercise	−105.93K	1.67	—	896.22K
Stock Option (Right to Buy) Direct	Common Stock, Par Value $0.0001 Per Share74.07K shares	3/15/2022	M · Option Exercise	−74.07K	2.41	—	822.15K