SEC Form 4 · accession 0001493152-18-017669
Stem Holdings, Inc. · STMH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lindy L Sinder
Director
Period of report
Jun 1, 2017
Accepted (ET)
Dec 18, 2018 · 4:29 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001697834
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 9, 2018 | P | 41,666 | $2.40 | A | 41,666 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $2.40 | Jun 1, 2017 | A | 50,000 | A | Jun 1, 2017 | Jun 1, 2021 | Common Stock | 50,000 | 50,000 | D |
| Stock Option | $2.40 | Jun 1, 2018 | A | 50,000 | A | Jun 1, 2018 | Jun 1, 2022 | Common Stock | 50,000 | 100,000 | D |