[144] STEM, INC. SEC Filing

Rhea-AI Filing Summary

STEM, Inc. filing a Form 144 reports a proposed sale of 134 shares of common stock, with an aggregate market value of $2,670.49, to be sold on or about 10/02/2025 on the NYSE. The shares were acquired by the seller on 09/26/2025 through restricted stock vesting and were received as compensation. The filing lists 8,359,047 shares outstanding for the class. The filer reports no sales of the issuer's securities by the seller in the past three months and includes the standard signer representation that they are not aware of undisclosed material adverse information about the issuer.

Positive

• Full disclosure of transaction details including number of shares, acquisition date, acquisition method, broker, and intended sale date
• Shares acquired via restricted stock vesting, indicating issuance was compensation rather than an open-market purchase
• No securities sold in the past three months by the filer for this account, as reported

Negative

• None.

Insights

Securities Compliance Counsel

TL;DR: Small, routine Rule 144 notice tied to recent restricted stock vesting.

This Form 144 notifies the market of a proposed sale under Rule 144 for 134 common shares received as compensation on 09/26/2025. It documents the broker, intended sale date (10/02/2025), and a current share count for the class, which are the core compliance items required for such notices.

This filing is procedural: it enables a covered person to sell restricted/controlled company stock while making the required attestations; it does not disclose additional operational or financial information about the issuer.

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	134	2670.49	8359047	10/02/2025	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	09/26/2025	Restricted Stock Vesting	Issuer			134	09/26/2025	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

Nothing to Report

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 does STEM's Form 144 report?

The filing reports a proposed sale of 134 common shares of STEM with an aggregate market value of $2,670.49, to be sold on 10/02/2025 on the NYSE.

How and when were the shares acquired for sale in the STEM Form 144?

The shares were acquired on 09/26/2025 through restricted stock vesting from the issuer and were received as compensation.

Does the filer report recent sales of STEM shares?

The Form 144 states "Nothing to Report" for securities sold during the past three months by the person for whose account the securities are to be sold.

Which broker is handling the proposed sale?

The intended broker is Fidelity Brokerage Services LLC, 900 Salem Street, Smithfield RI 02917.

What attestations does the filer make in the Form 144?

By signing, the person represents they do not know of any material adverse information about the issuer that has not been publicly disclosed.