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STEM, INC. (STEM) grants 12,168 RSUs to director Shivram Krishna

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Shivram Krishna reported acquisition or exercise transactions in this Form 4 filing.

STEM, INC. director Shivram Krishna received a grant of 12,168 restricted stock units on June 3, 2026. Each RSU represents a right to receive one share of common stock, vesting 100% on June 3, 2027. Following the award, he holds 12,168 RSUs directly.

Positive

  • None.

Negative

  • None.
Insider Shivram Krishna
Role null
Type Security Shares Price Value
Grant/Award Restricted Stock Unit 12,168 $0.00 --
Holdings After Transaction: Restricted Stock Unit — 12,168 shares (Direct, null)
Footnotes (1)
  1. Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. On June 3, 2026, the Reporting Person was granted 12,168 RSUs vesting 100% on June 3, 2027.
RSUs granted 12,168 RSUs Grant date June 3, 2026
RSU vesting date June 3, 2027 100% of 12,168 RSUs vest
Holdings after grant 12,168 RSUs Total restricted stock units directly held
Exercise/strike price $0.00 per unit Awarded as compensation, not a market purchase
Restricted Stock Unit financial
"security_title: "Restricted Stock Unit""
A restricted stock unit is a promise from a company to give an employee shares of stock after certain conditions are met, like staying with the company for a set amount of time. It’s like earning a bonus that turns into company stock once you’ve proven your commitment, making it a way to motivate and reward employees.
RSU financial
"Each restricted stock unit ("RSU") represents a contingent right"
Restricted stock units (RSUs) are a form of company shares given to employees as part of their compensation, usually with certain restrictions or conditions, such as remaining with the company for a set period. When these restrictions lift, employees receive actual shares that they can sell or hold. For investors, RSUs can impact a company's stock supply and reflect the company's commitment to attracting and retaining talent.
contingent right financial
"represents a contingent right to receive one share of the Issuer's common stock"
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Shivram Krishna
(Last)(First)(Middle)
1400 POST OAK BLVD
SUITE 560
(Street)
HOUSTON TEXAS 77056
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
STEM, INC. [ STEM ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/03/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Unit(1)06/03/2026A12,168 (2) (2)Common Stock, Par Value $0.0001 Per Share12,168$012,168D
Explanation of Responses:
1. Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.
2. On June 3, 2026, the Reporting Person was granted 12,168 RSUs vesting 100% on June 3, 2027.
Remarks:
Exhibit 24 - Power of Attorney
/s/ Sarah Dunn, attorney-in-fact06/04/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did STEM (STEM) report for Shivram Krishna?

STEM reported that director Shivram Krishna received a grant of 12,168 restricted stock units. These RSUs were awarded on June 3, 2026 and give him a contingent right to receive an equal number of common shares, subject to vesting.

How many RSUs were granted to STEM director Shivram Krishna and when do they vest?

Shivram Krishna was granted 12,168 RSUs that vest 100% on June 3, 2027. Once vested, each RSU converts into one share of STEM’s common stock, increasing his direct equity exposure if he holds the resulting shares.

What does each RSU granted to Shivram Krishna by STEM represent?

Each RSU granted to Shivram Krishna represents a contingent right to receive one share of STEM common stock. The units do not deliver shares until the vesting date, aligning his potential ownership with future service and company performance over time.

What are Shivram Krishna’s holdings after the June 3, 2026 RSU grant at STEM?

After the June 3, 2026 award, Shivram Krishna holds 12,168 restricted stock units directly. These units will convert into an equal number of common shares only if they vest on June 3, 2027, reflecting a time-based equity incentive position.

Is the STEM Form 4 filing for Shivram Krishna a stock purchase or a compensation grant?

The Form 4 reflects a compensation-related grant, not a market purchase. Code “A” indicates an award of 12,168 restricted stock units at a price of $0.00 per unit, structured as equity compensation that vests in full on June 3, 2027.