STEM insider files Form 144 to sell 9,584 shares after vesting

STEM filed a Form 144 notice for a proposed sale of 9,584 common shares following restricted stock vesting on 11/07/2025.

Accepted by SEC EDGAR 11/12/2025 - 06:31 AM EST Learn about SEC filing dates

Rhea-AI Filing Summary

STEM filed a Form 144 notice for a proposed sale of 9,584 common shares following restricted stock vesting on 11/07/2025. The planned transaction lists an aggregate market value of $169,636.80, to be executed through Fidelity Brokerage Services LLC on or around 11/11/2025 on the NYSE.

The shares were acquired from the issuer as compensation upon vesting. The filer also reported a recent sale of 5,416 shares on 11/10/2025 for gross proceeds of $98,986.07.

FAQ

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

What did STEM disclose in this Form 144?

A proposed sale of 9,584 common shares with an aggregate market value of $169,636.80, planned around 11/11/2025 on the NYSE.

How were the shares to be sold acquired?

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

Which broker is listed for the sale?

The filing names Fidelity Brokerage Services LLC as the broker.

Were there recent sales by the same filer?

Yes. The filer sold 5,416 shares on 11/10/2025 for gross proceeds of $98,986.07.

On which exchange are the shares to be sold?

The notice names the NYSE as the exchange for the proposed sale.

What is the aggregate market value of the proposed sale?

The filing lists an aggregate market value of $169,636.80 for the 9,584 shares.

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	0001986259
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	Tappin Matthew
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	9584	169636.80	8390208	11/11/2025	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			9584	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
Matthew Tappin 1400 Post Oak Boulevard Suite 560 Houston TX 77056	Common	11/10/2025	5416	98986.07

144: Remarks and Signature

Remarks
Date of Notice	11/12/2025
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	03/18/2025
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/ Daniel Tucci, as a duly authorized representative of Fidelity Brokerage Services LLC, as attorney-in-fact for Matthew Tappin
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)