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  4. [Form 4] STEM, INC. Insider Trading Activity

Insider at Stem converts 15,000 RSUs; 11,456 shares owned after

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Stem, Inc. (STEM) reported an insider equity settlement. The company’s President, Software Products, acquired 15,000 shares of common stock on 11/07/2025 upon the vesting and conversion of previously granted RSUs.

On 11/10/2025, 5,416 shares were automatically sold at $18.27 to cover taxes. Following these transactions, the reporting person beneficially owns 11,456 shares directly. The RSUs were granted on November 1, 2024 and vested 100% on November 7, 2025.

Positive

  • None.

Negative

  • None.
Insider Tappin Matthew
Role President, Software Products
Type Security Shares Price Value
Tax Withholding Common Stock, Par Value $0.0001 Per Share 5,416 $18.27 $99K
Exercise Restricted Stock Unit 15,000 $0.00 --
Exercise Common Stock, Par Value $0.0001 Per Share 15,000 $0.00 --
Holdings After Transaction: Common Stock, Par Value $0.0001 Per Share — 11,456 shares (Direct); Restricted Stock Unit — 0 shares (Direct)
Footnotes (1)
  1. Each restricted stock unit ("RSU") converted into a share of common stock on a one-for-one basis. Represents shares of common stock automatically sold to cover the reporting person's tax liability in connection with the settlement of RSUs. This "sell to cover" transaction does not represent a discretionary trade by the reporting person. On November 1, 2024 the reporting person was granted 15,000 RSUs, vesting 100% on November 7, 2025.
Form 4 Insider Transactions: What Each Field Means →
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
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
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)
11/07/2025
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 11/07/2025 M 15,000 A (1) 16,872 D
Common Stock, Par Value $0.0001 Per Share 11/10/2025 F(2) 5,416 D $18.27 11,456 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
Restricted Stock Unit (1) 11/07/2025 M 15,000 (3) (3) Common Stock, Par Value $0.0001 Per Share 15,000 $0 0 D
Explanation of Responses:
1. Each restricted stock unit ("RSU") converted into a share of common stock on a one-for-one basis.
2. Represents shares of common stock automatically sold to cover the reporting person's tax liability in connection with the settlement of RSUs. This "sell to cover" transaction does not represent a discretionary trade by the reporting person.
3. On November 1, 2024 the reporting person was granted 15,000 RSUs, vesting 100% on November 7, 2025.
Remarks:
/s/ Sarah Dunn, attorney-in-fact 11/12/2025
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What did Stem (STEM) disclose in this Form 4?

An officer received 15,000 shares on 11/07/2025 from RSU vesting and later sold 5,416 shares on 11/10/2025 to cover taxes.

Who is the reporting person in the STEM Form 4?

Stem’s President, Software Products is the reporting person.

How many shares does the insider own after these transactions?

The reporting person beneficially owns 11,456 shares directly after the reported transactions.

What was the sale price for the tax withholding transaction?

Shares were sold at $18.27 per share to satisfy tax obligations.

What is the nature of the 5,416-share sale?

It was an automatic sell to cover for taxes tied to RSU settlement, not a discretionary trade.

When were the RSUs originally granted and how did they vest?

Granted on November 1, 2024, the 15,000 RSUs vested 100% on November 7, 2025 and converted one-for-one into common stock.