STEM (STEM) software president auto-sells 485 shares to cover RSU taxes

Rhea-AI Filing Summary

STEM, INC. president of software products Matthew Tappin reported automatic sales of common stock to cover taxes from a recent restricted stock unit (RSU) vesting. He sold 300 shares on March 3, 2026 at $9.67 per share and 185 shares on March 4, 2026 at $10.00 per share. According to the disclosure, these were “sell to cover” transactions executed to satisfy tax liabilities and did not represent discretionary trades. After these sales, he continued to hold a remaining direct stake in STEM common stock.

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Tappin Matthew

(Last) (First) (Middle)

1400 POST OAK BOULEVARD

SUITE 560

(Street)

HOUSTON TX 77056

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
STEM, INC. [ STEM ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	President, Software Products

3. Date of Earliest Transaction (Month/Day/Year)
03/03/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock, Par Value $0.0001 Per Share	03/03/2026		S(1)		300	D	$9.67	2,607	D
Common Stock, Par Value $0.0001 Per Share	03/04/2026		S		185	D	$10	2,422	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Represents shares of common stock automatically sold to cover the reporting person's tax liability in connection with the previously reported settlement of restricted stock units on March 1, 2026. This "sell to cover" transaction does not represent a discretionary trade by the reporting person.

Remarks:

	/s/ Sarah Dunn, attorney-in-fact	03/04/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

FAQ

What insider transactions did STEM (STEM) report for Matthew Tappin?

STEM reported that executive Matthew Tappin had 485 shares of common stock sold in two transactions. These were automatic “sell to cover” sales tied to RSU vesting and executed solely to satisfy related tax liabilities, not discretionary open-market trades.

Were Matthew Tappin’s STEM (STEM) stock sales discretionary trades?

No, the filing states Tappin’s stock sales were automatic “sell to cover” transactions. They were executed to pay taxes arising from the settlement of restricted stock units, meaning they did not reflect discretionary buying or selling decisions by the executive.

How many STEM (STEM) shares were sold to cover Matthew Tappin’s taxes?

A total of 485 STEM common shares were sold to cover Matthew Tappin’s tax liability. The transactions involved 300 shares at $9.67 per share and 185 shares at $10.00 per share, all connected to a previously reported RSU settlement.

What price levels were involved in Matthew Tappin’s STEM (STEM) stock sales?

The automatic tax-related sales occurred at two price points: 300 shares were sold at $9.67 per share, and 185 shares were sold at $10.00 per share. Both transactions were reported as routine “sell to cover” events after RSU settlement.

Why did STEM (STEM) executive Matthew Tappin sell company shares?

The filing explains that Tappin’s share sales were to cover his tax obligations from vested restricted stock units. This “sell to cover” mechanism automatically sells a portion of vested shares so the executive can meet required withholding taxes without making a separate cash payment.