STEM Form 144: Holder plans sale of 6,743 shares on NYSE

STEM reported a Form 144 notice indicating a planned sale of common stock by a shareholder.

Accepted by SEC EDGAR 11/10/2025 - 04:23 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

STEM reported a Form 144 notice indicating a planned sale of common stock by a shareholder. The filing lists 6,743 shares to be sold with an aggregate market value of $123,239.11, through Fidelity Brokerage Services LLC on the NYSE, with an approximate sale date of 11/10/2025. The issuer’s common shares outstanding were 8,390,208.

The securities were acquired on 11/07/2025 via restricted stock vesting from the issuer as compensation. The filing also notes a recent transaction: Michael James Carlson sold 134 common shares on 10/02/2025 for $2,670.49. This notice reflects an intended sale by an affiliate or other holder under Rule 144.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did STEM’s Form 144 disclose?

A shareholder filed to sell 6,743 common shares with an aggregate market value of $123,239.11 on or about 11/10/2025.

Which broker and exchange are listed for the proposed sale of STEM shares?

The filing lists Fidelity Brokerage Services LLC as broker and NYSE as the exchange.

How were the STEM shares being sold acquired?

They were acquired on 11/07/2025 via restricted stock vesting from the issuer as compensation.

How many STEM shares are outstanding according to the notice?

The notice lists 8,390,208 common shares outstanding.

Were there recent sales by the same or related person noted?

Yes. Michael James Carlson sold 134 shares on 10/02/2025 for $2,670.49.

Does the Form 144 indicate a specific sale date for STEM shares?

It lists an approximate sale date of 11/10/2025.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001948274
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	STEM, INC.
SEC File Number	001-39455
Address of Issuer	1400 POST OAK BOULEVARD, SUITE 560 HOUSTON TEXAS 77056
Phone	877-374-7836
Name of Person for Whose Account the Securities are To Be Sold	Carlson Michael James
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Fidelity Brokerage Services LLC 900 Salem Street Smithfield RI 02917	6743	123239.11	8390208	11/10/2025	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	11/07/2025	Restricted Stock Vesting	Issuer			6743	11/07/2025	Compensation

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Michael James Carlson 1400 Post Oak Boulevard Suite 560 Houston TX 77056	Common	10/02/2025	134	2670.49

144: Remarks and Signature

Remarks	Sale includes an amount necessary to cover a tax obligation resulting from the settlement of a vested equity award distribution.
Date of Notice	11/10/2025
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/Wade Moss, as a duly authorized representative of Fidelity Brokerage Services LLC, as attorney-in-fact for Michael Carlson
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)