Every SEC Form 3/4/5 on record for this filer (CIK 1244203) — 4 issuers, 24 transactions. Section-16 filings only: what they filed, not a biography, and titles are as filed on their latest form at each issuer.
| Ticker | Company | Role as filed | On file | Forms | Open-market net |
|---|---|---|---|---|---|
| STEM | STEM, INC. | Director | 2021-05-25 → 2026-06-04 | 22 | −$2M |
| SVII | Spring Valley Acquisition Corp. II | Director | 2022-10-12 → 2026-02-26 | 3 | — |
| SVIV | Spring Valley Acquisition Corp. IV | Director | 2026-02-09 → 2026-02-09 | 1 | — |
| SVAC | Spring Valley Acquisition Corp. III | Director | 2025-09-03 → 2025-09-03 | 1 | — |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| STEM | 2024-03-18 | Buy | 33,800 | $1.81 | $61,178 | 768,448 |
| STEM | 2024-03-18 | Buy | 33,800 | $1.81 | $61,178 | 96,300 |
| STEM | 2024-03-15 | Buy | 62,500 | $1.84 | $115,000 | 734,648 |
| STEM | 2024-03-15 | Buy | 62,500 | $1.84 | $115,000 | 62,500 |
1 of 4 issuers are covered and open a security page; the rest are on file here only.
