HAYEK BRIAN JOHN enters STEM HOLDINGS, INC. with 4.34M shares plus derivative instruments
Holding both equity and derivatives at entry signals strong long-term conviction in the company.
Direct Derivatives
Filed: 7/19/2021ACC: 0001850300-21-000001
4.34M
Baseline shares
100% direct
4.34M
Direct ownership
1 position
2.04M
Derivative underlying
2 instruments
1
Security positions
All direct
Non-Derivative Holdings1
Common Stock
DirectShares owned4.34M
Total
4.34M direct4.34M
| Security Title | Shares Owned | Ownership Type |
|---|---|---|
| Common Stock | 4.34M | Direct |
| Total | 4.34M | 4.34M direct |
Derivative Holdings2
Employee Stock Option (right to buy) 12/28/2018 Grant
DirectUnderlying security
Common Stock
Underlying shares
1.54M
Shares owned
N/A
Exercise price
0.1
Expiration
—
Exercise window
—
Stock Purchase Warrant
DirectUnderlying security
Common Stock
Underlying shares
500K
Shares owned
N/A
Exercise price
0.5
Expiration
—
Exercise window
—
Total
Underlying
2.04M
Owned
0.00
| Security | Underlying | Exercise Price | Exercise Window | Expiration | Underlying Shares | Shares Owned |
|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy) 12/28/2018 Grant Direct | Common Stock | 0.1 | — | — | 1.54M | N/A |
| Stock Purchase Warrant Direct | Common Stock | 0.5 | — | — | 500K | N/A |
| Total | 2.04M | 0.00 | ||||