STEM INC
For the period ended Dec 31, 2023. Filed Feb 29, 2024.
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FY2023 · Filed Feb 29, 2024
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Item 9B. Other Information
(b) Trading Plans
The following table describes contracts, instructions or written plans for the sale or purchase of our securities adopted orterminated by our Section 16 officers and directors during the fourth quarter of 2023 and intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) (“Rule 10b5-1 Trading Plans”). No Section 16 officer or director adopted orterminated any non-Rule 10b5-1 trading arrangement (as defined in Item 408(c) of Regulation S-K promulgated under the Exchange Act) during the fourth quarter of 2023.
| Name and Title | Date of Adoption or Termination of Rule 10b5-1 Trading Plan | Duration of Rule 10b5-1 Trading Plan | Aggregate Number of Securities to be Purchased or Sold |
|---|---|---|---|
| Matthew Tappin (President, Asset Management) | Adopted 11/13/2023 | 11/13/2023 through 11/15/2024 | Sell up to 27,403 shares of common stock, subject to certain conditions |
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