STEM insider files Form 144 reporting share sales

STEM reported proposed insider sales under a Form 144 notice, identifying multiple recent dispositions of Common Stock by Matthew Tappin.

Rhea-AI Filing Summary

STEM reported proposed insider sales under a Form 144 notice, identifying multiple recent dispositions of Common Stock by Matthew Tappin. The excerpt lists specific sales on 02/19/2026, 02/20/2026, 03/03/2026, 03/04/2026, and 03/10/2026 with per‑trade share counts of 522, 366, 300, 185, and 655 respectively.

The filing also shows an entry associated with Fidelity Brokerage Services LLC and a record line dated 03/11/2026. These items are presented as notices of proposed resale under Section 144; the excerpt does not state settlement details or cumulative totals.

Insights

Securities Compliance Counsel

Form 144 lists specific proposed dispositions by an insider; filings notify compliance with resale rules.

The excerpt lists five transactions by Matthew Tappin with exact share counts and trade dates: 02/19/2026 (522), 02/20/2026 (366), 03/03/2026 (300), 03/04/2026 (185) and 03/10/2026 (655). These entries reflect reported dispositions, consistent with Section 144 notice practice.

Timing and settlement details are not included in the excerpt; subsequent filings (Forms 4 or transaction confirmations) would show final dispositions and post‑transaction holdings. Cash‑flow treatment and any trading plan reference are not present in the provided text.

FAQ

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

What does STEM's Form 144 filing disclose about insider sales?

It discloses proposed dispositions of Common Stock by Matthew Tappin on five dates. The filing lists trades of 522, 366, 300, 185, and 655 shares on the dates shown, but does not state settlement or cumulative totals.

Does the Form 144 excerpt show who executed the trades for STEM?

Yes; the excerpt names Matthew Tappin as the reporting person and references Fidelity Brokerage Services LLC in a securities line. It does not specify execution venue or settlement counterparties.

Are proceeds or prices disclosed in the provided STEM excerpt?

No proceeds or per‑share sale prices are provided in the excerpt. The filing lists share counts and dates only; monetary amounts for each transaction are not included in the provided content.

Does this Form 144 confirm the insider still holds shares after these transactions?

The excerpt does not state post‑transaction holdings or total shares outstanding. It lists individual proposed dispositions but does not provide the reporting person's remaining position after the trades.

Will a Form 144 alone confirm whether the listed sales were completed?

A Form 144 is a notice of proposed resale under Section 144; it does not itself prove completion. Completion and final holdings are typically documented in subsequent Forms 4 or transaction confirmations.

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

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Accepted by SEC EDGAR 03/11/2026 - 09:57 AM 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	402	4353.66	8518974	03/11/2026	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	03/07/2026	Restricted Stock Vesting	Issuer			402	03/07/2026	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
Matthew Tappin 1400 Post Oak Boulevard Suite 560 Houston TX 77056	Common	03/10/2026	655	7283.93

144: Remarks and Signature

Remarks
Date of Notice	03/11/2026
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/Wade Moss, 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)