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STPK Star Peak Energy Transition Corp

26.61
0.00 (0.00%)
03 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Star Peak Energy Transition Corp NYSE:STPK NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 26.61 0 01:00:00

Initial Statement of Beneficial Ownership (3)

28/05/2021 6:23pm

Edgar (US Regulatory)


FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Russo Alan
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/28/2021 

3. Issuer Name and Ticker or Trading Symbol

STEM, INC. [STEM]
(Last)        (First)        (Middle)

100 ROLLINS ROAD
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                          _____ 10% Owner
___X___ Officer (give title below)        _____ Other (specify below)
Chief Revenue Officer /
(Street)

MILLBRAE, CA 94030      

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed(MM/DD/YYYY)
 

6. Individual or Joint/Group Filing(Check Applicable Line)

_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Common Stock 148094 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option  (1)1/30/2029 Common Stock 125754.0 $2.27 D  
Stock Option 12/3/2020 12/2/2030 Common Stock 31767.0 $6.81 D  

Explanation of Responses:
(1) 25% of the shares underlying the option vest on the first anniversary date, and the remaining shares underlying the option vest in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer on each such date.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Russo Alan
100 ROLLINS ROAD
MILLBRAE, CA 94030


Chief Revenue Officer

Signatures
Alan Russo by William Bush, Attorney-in-Fact5/28/2021
**Signature of Reporting PersonDate

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