STEM HOLDINGS, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 21 rows, 21 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-07-19: Reporting owner Hayek Brian John; Form 3; Security Employee Stock Option (right to buy) 12/28/2018 Grant; Transaction Holding.
- 2021-06-11: Reporting owner Suskind Dennis; Form 4; Security Options; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-06-01: Reporting owner Hubbard Steven Shelly; Form 4; Security Options; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-01-14: Reporting owner Suskind Dennis; Form 4; Security Options; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-07-19 holding as of filing | Hayek Brian John Director | 3 | Employee Stock Option (right to buy) 12/28/2018 Grant Derivative · Direct | Holding | $0.10 exercise price | 2021-07-19 | ||
| 2021-06-11 | Suskind Dennis Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $0.10 | 2021-10-22 | |
| 2020-06-01 | Hubbard Steven Shelly Director, Officer (Secretary) | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 200,000 owned after | $0.52 | 2021-09-10 | |
| 2020-01-14 | Suskind Dennis Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $1.00 | 2021-10-22 | |
| 2019-06-01 | Hubbard Steven Shelly Director, Officer (Secretary) | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $1.40 | 2021-09-10 | |
| 2019-03-04 | Berk Adam Director, Officer (Chief Executive Officer) | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $0.10 | 2021-09-10 | |
| 2018-12-20 holding as of filing | Raj Rajiv Director | 3 | Stock Options Derivative · Direct | Holding | $2.40 exercise price | 2018-12-20 | ||
| 2018-12-20 holding as of filing | Feingold Jessica Michelle Director | 3 | Stock Option Derivative · Direct | Holding | $2.40 exercise price | 2018-12-20 | ||
| 2018-06-01 | Snider Lindy L Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $2.40 | 2021-10-22 | |
| 2018-06-01 | Hubbard Steven Shelly Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 200,000 owned after | $2.40 | 2018-12-18 | |
| 2018-06-01 | Hubbard Steven Shelly Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 300,000 owned after | $2.40 | 2018-12-18 | |
| 2018-06-01 | Hubbard Steven Shelly Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 400,000 owned after | $2.40 | 2018-12-18 | |
| 2018-06-01 | Sinder Lindy L Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 100,000 owned after | $2.40 | 2018-12-18 | |
| 2018-06-01 | Bender Garrett Martin Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 100,000 owned after | $2.40 | 2018-12-18 | |
| 2018-06-01 | Berk Adam Director, Officer (President) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 100,000 owned after | $2.40 | 2018-12-18 | |
| 2018-06-01 | Berk Adam Director, Officer (President) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000,000 1,100,000 owned after | $2.40 | 2018-12-18 | |
| 2018-06-01 | Berk Adam Director, Officer (President) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 1,150,000 owned after | $2.40 | 2018-12-18 | |
| 2017-06-01 | Hubbard Steven Shelly Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $2.40 | 2018-12-18 | |
| 2017-06-01 | Sinder Lindy L Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $2.40 | 2018-12-18 | |
| 2017-06-01 | Bender Garrett Martin Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $2.40 | 2018-12-18 | |
| 2017-06-01 | Berk Adam Director, Officer (President) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $2.40 | 2018-12-18 |