Welcome to our dedicated page for STEM SEC filings (Ticker: STEM), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Stem, Inc. filings document the company’s clean energy software business, public-company governance and capital structure. Results-related 8-K reports furnish quarterly and annual operating updates, including software, services and edge hardware revenue, PowerTrack software activity, adjusted EBITDA measures and management guidance.
Other filings cover proxy matters, director elections, executive compensation, board and officer changes, independent auditor changes, an at-the-market common stock offering program, Regulation FD materials and securities-litigation status. These disclosures record governance controls, stockholder voting matters, common stock issuance capacity, risk-related events and formal updates tied to Stem’s energy storage and renewable asset software operations.
Stem, Inc. registers for resale up to 439,919 warrants and up to 439,919 common shares issuable upon exercise of those warrants, issued June 30, 2025, as part of exchanges of its 2028 and 2030 convertible notes. Each warrant is exercisable for one share at $30.00 per share and expires at close of business on December 1, 2030. Stem's common stock trades on the NYSE under STEM; the last reported sale price on September 8, 2025 was $13.50. The prospectus warns of potential dilution, limited warrant liquidity, and directs readers to incorporated SEC filings for risks and financial details.
Stem, Inc. furnished a CEO letter to shareholders from Chief Executive Officer Arun Narayanan. The letter, dated September 9, 2025, was provided as an exhibit to this report to update shareholders outside of the company’s regular periodic filings. The company clarified that this communication is being furnished rather than filed, which means it is not subject to certain liability provisions of the securities laws and will only be incorporated into other filings if specifically referenced.
Stem, Inc. files an S-3 shelf registration describing resale of Common Stock and Warrants held by selling securityholders. The document incorporates by reference Stem's 2024 Form 10-K (filed March 5, 2025), Quarterly Reports on Form 10-Q for periods ended March 31, 2025 and June 30, 2025 (filed April 30 and August 8, 2025), and multiple Form 8-Ks.
The company has authorized 250,000,000 shares of Common Stock and 1,000,000 shares of Preferred Stock. As of August 31, 2025 there were 8,387,658 shares of Common Stock outstanding and 439,919 Warrants outstanding. Each Warrant is exercisable for one share at $30.00 per share and expires December 1, 2030. Warrants include anti-dilution adjustments and other customary terms. Deloitte & Touche LLP audited Stem’s consolidated financial statements for years through December 31, 2024.
Brian Musfeldt, Chief Financial Officer of Stem, Inc. (STEM), received equity awards on 07/17/2025 totaling 22,000 underlying shares. The grants consist of 11,000 restricted stock units (RSUs) vesting in three nearly equal annual installments beginning August 7, 2026; 5,500 performance stock units (PSUs) that vest only if a 60-trading-day volume-weighted average price target is met; and 5,500 stock options with a $9.27 exercise price, exercisable through July 17, 2035 and vesting in the same three-installment schedule beginning August 7, 2026. Each RSU and PSU represents the contingent right to one share of common stock. Following these grants, Mr. Musfeldt beneficially owns 22,000 shares subject to these awards. The Form 4 was submitted by an attorney-in-fact on 08/19/2025.
STEM, Inc. reporting person Brian Musfeldt filed an initial Form 3 disclosing his relationship to the company as Chief Financial Officer and Director. The event date triggering the filing is 07/17/2025. The filing states no securities are beneficially owned by the reporting person and includes an executed signature by attorney-in-fact Sarah Dunn dated 08/19/2025.
This Form 144 is a Rule 144 notice reporting a proposed sale of common stock by a person who acquired the shares through restricted stock vesting. The filer plans to sell 5,951 shares of common stock through Fidelity Brokerage Services LLC with an aggregate market value of $81,203.78. The filing lists 8,359,047 shares outstanding. The securities were acquired on 08/07/2025 by Restricted Stock Vesting from the issuer and the stated nature of payment is compensation. The approximate date of sale is 08/11/2025. The notice also reports Nothing to Report for securities sold in the past three months and includes the standard signer representation about material adverse information.