STEM: Form 144 notice for 655 shares

Matthew Tappin submitted a Form 144 notice concerning 655 shares of Common Stock tied to restricted stock vesting on 03/06/2026.

Rhea-AI Filing Summary

Matthew Tappin submitted a Form 144 notice concerning 655 shares of Common Stock tied to restricted stock vesting on 03/06/2026. The filing also lists four reported dispositions by Tappin in the prior three months: 522 (02/19/2026), 366 (02/20/2026), 300 (03/03/2026) and 185 (03/04/2026) shares, with per‑trade gross proceeds shown in the excerpt.

Insights

Equity Capital Markets Analyst

Routine Rule 144 notice for restricted shares; recent small open‑market dispositions are disclosed.

The filing registers 655 shares of Common Stock linked to a restricted stock vesting event on 03/06/2026. The seller reported four prior dispositions totaling several hundred shares across late February and early March 2026, with individual trade proceeds listed.

These entries are procedural: they document an intended resale under Rule 144 and recent past sales. Cash‑flow treatment and whether a sale has occurred after the notice are not specified in the provided excerpt; subsequent public filings would show executed transactions.

FAQ

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

What does the Form 144 filed for STEM mean?

It notifies the SEC of an intent to sell restricted shares under Rule 144. The filing lists 655 shares tied to vesting on 03/06/2026, and prior reported dispositions by the same seller over recent dates.

Who is the selling party in the STEM Form 144?

The filing identifies Matthew Tappin as the seller. The excerpt shows his address and four prior dispositions of Common Stock on 02/19/2026, 02/20/2026, 03/03/2026, and 03/04/2026.

How many shares does the STEM Form 144 seek to sell?

The notice covers 655 shares of Common Stock associated with restricted stock vesting dated 03/06/2026. The excerpt also lists four past dispositions by the same seller, each with share counts and gross proceeds.

Do the past sales listed on the STEM Form 144 affect registration?

The listed prior sales document transactions in the preceding three months and do not themselves register new shares. They show past dispositions: 522, 366, 300, and 185 shares on the dates shown; registration or proceeds treatment for the 655 shares is not detailed in the excerpt.

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

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Accepted by SEC EDGAR 03/10/2026 - 04:23 PM Learn about SEC filing dates

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	655	7283.93	8518974	03/10/2026	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	03/06/2026	Restricted Stock Vesting	Issuer			655	03/06/2026	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	02/19/2026	522	5847.50
Matthew Tappin 1400 Post Oak Boulevard Suite 560 Houston TX 77056	Common	02/20/2026	366	4172.40
Matthew Tappin 1400 Post Oak Boulevard Suite 560 Houston TX 77056	Common	03/03/2026	300	2901.48
Matthew Tappin 1400 Post Oak Boulevard Suite 560 Houston TX 77056	Common	03/04/2026	185	1850.00

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	03/10/2026
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/ Louis Kurnick, 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)