[144] STEM, INC. SEC Filing

Rhea-AI Filing Summary

Stem, Inc. (STEM) has a notice of proposed sale of restricted stock under Rule 144. An affiliate plans to sell 3,674 common shares through Fidelity Brokerage Services LLC on or about 11/18/2025 on the NYSE, with an indicated aggregate market value of $59,539.74. These shares were acquired on 11/07/2025 via restricted stock vesting as compensation. The notice also reports that the same seller disposed of 2,076 common shares on 11/10/2025 for gross proceeds of $37,942.22. Common shares outstanding are stated as 8,390,208, providing context for the relative size of these transactions.

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

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

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

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	3674	59539.74	8390208	11/18/2025	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			3674	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
Rahul Shukla 1400 Post Oak Boulevard. Suite 560 Houston TX 77056	Common	11/10/2025	2076	37942.22

144: Remarks and Signature

Remarks

Date of Notice

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

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What type of transaction is disclosed for Stem, Inc. (STEM) in this Form 144?

The document discloses a proposed sale of common stock under Rule 144 by an affiliated holder of Stem, Inc. (STEM), covering shares acquired through restricted stock vesting as compensation.

How many Stem (STEM) shares are proposed to be sold and on which exchange?

The affiliate plans to sell 3,674 common shares of Stem, Inc. on the NYSE, with Fidelity Brokerage Services LLC listed as the broker and an approximate sale date of 11/18/2025.

What is the aggregate market value of the Stem (STEM) shares to be sold under this notice?

The proposed sale covers 3,674 common shares of Stem, Inc. with an aggregate market value of $59,539.74 as indicated in the notice.

How and when were the Stem (STEM) shares to be sold originally acquired?

The 3,674 common shares to be sold were acquired on 11/07/2025 through restricted stock vesting from the issuer, with the nature of payment described as compensation.

What prior Stem (STEM) share sales by this holder are reported in the past three months?

The notice reports that the same seller disposed of 2,076 common shares of Stem, Inc. on 11/10/2025, generating gross proceeds of $37,942.22.

How many Stem (STEM) common shares are outstanding as referenced in this notice?

The securities information section states that 8,390,208 common shares of Stem, Inc. are outstanding, providing a baseline for the relative size of the proposed sale.

What representation does the seller make about non-public information in this Stem (STEM) Form 144 notice?

By signing the notice, the seller represents that they do not know any material adverse information about the issuer’s current or prospective operations that has not been publicly disclosed.