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.
The SEC filings page for Stem, Inc. (NYSE: STEM) provides access to the company’s official regulatory disclosures, including current reports on Form 8-K, annual and quarterly reports when available, and other documents filed with the U.S. Securities and Exchange Commission. These filings offer detailed information about Stem’s AI-enabled clean energy software and services business, its PowerTrack platform, and its financial and capital structure.
Recent Form 8-K filings describe events such as quarterly earnings releases, where Stem reports revenue, gross profit, non-GAAP metrics, and recurring revenue indicators like ARR and CARR. Other 8-Ks outline material financing transactions, including the exchange of portions of its 0.50% and 4.25% convertible senior notes for new Senior Secured PIK Toggle Notes and warrants, as well as the implementation of a 1-for-20 reverse stock split of its common stock to address NYSE listing requirements.
Filings also cover corporate governance and leadership changes, such as appointments of executive officers, board appointments, and amendments to the company’s bylaws, including a reduction in the quorum requirement for shareholder meetings. Legal developments, like the dismissal with prejudice of a putative securities class action against Stem and certain former officers and directors, are likewise reported through Form 8-K.
On Stock Titan, these SEC filings are presented with AI-powered tools that help readers interpret complex documents. Users can quickly locate key sections in earnings releases, financing agreements, warrant terms, and governance amendments, and can review how these disclosures relate to Stem’s software-centric strategy and clean energy operations. This page is intended as a centralized view of STEM’s regulatory history, including financial reporting, capital markets activity, and governance updates.
STEM, INC. executive Michael James Carlson, President of Managed Services, exercised previously granted restricted stock units that converted into 1,342 shares of common stock. The RSUs converted on a one-for-one basis, completing the third and final vesting installment from an award originally granted in February 2023.
After this RSU conversion, Carlson directly owned 18,726 shares of common stock. The transaction was priced at $0.00 per share, reflecting that it was an equity award conversion rather than an open-market purchase.
STEM, INC. executive Matthew Tappin, President, Software Products, exercised restricted stock units into common shares. On
These RSUs were part of a 3,684-unit grant awarded on
STEM, INC. Chief Legal Officer Saul R. Laureles exercised restricted stock units that converted into common stock. On February 15, 2026, 1,790 restricted stock units converted into 1,790 shares of common stock at a price of $0.0000 per share. These RSUs were part of a 5,263-unit award granted on February 15, 2023 that vests in three equal annual installments, with the third installment vesting on February 15, 2026. Following this conversion, Laureles directly owns 25,400 shares of STEM common stock.
STEM, Inc. disclosed new equity awards for Chief Accounting Officer Jeffrey T. Cabot. On January 5, 2026, he received 7,000 restricted stock units (RSUs), vesting in three nearly equal annual installments of 33%, 33% and 34% beginning March 7, 2027. He was also granted 3,500 performance stock units (PSUs), which may vest if the volume-weighted average price of STEM’s common stock meets a stock price target over any 60‑trading‑day period. In addition, Cabot received stock options on 3,500 shares at an exercise price of $18.3 per share, also vesting 33%, 33% and 34% annually starting March 7, 2027. All awards relate to STEM common stock with a par value of $0.0001 per share and are held directly.
STEM, Inc. filed an initial insider ownership report for Cabot Jeffrey T, who serves as the company’s Chief Accounting Officer. This Form 3 identifies him as an officer of STEM, Inc. but states that no securities are beneficially owned by the reporting person at the time of the report. The filing is signed by an attorney-in-fact under a power of attorney, confirming the disclosure of his current ownership status.
Stem, Inc. reported that on December 17, 2025, the U.S. District Court for the Northern District of California dismissed with prejudice all claims in a putative securities class action that had been filed against the company and certain former officers, directors, and employees. The case, titled In re Stem, Inc. Sec. Litig., Case No. 23-CV-02329-MMC, involved various allegations under federal securities laws.
A dismissal "with prejudice" means the claims in this case cannot be refiled in that court, which removes this particular litigation as an ongoing legal threat for Stem arising from the asserted securities law violations.
Stem, Inc. reported a change in its senior finance leadership. Chief Accounting Officer Rahul Shukla and the company mutually agreed that he will step down from his role effective December 19, 2025, and they are negotiating a separation agreement.
The board appointed Jeffrey Cabot as the new Chief Accounting Officer effective January 5, 2026. He will receive a $325,000 annual base salary and an initial long-term equity award covering 14,000 shares of common stock, split into 7,000 restricted stock units, 3,500 performance stock units and 3,500 stock options that vest ratably over three years. Cabot is also eligible for an annual cash incentive with a target of 45% of base salary, as well as severance, change-in-control and indemnification protections under standard company agreements.
Stem, Inc. reported that its Board of Directors increased the board size from seven to eight members and appointed Chief Executive Officer Arun Narayanan as a Class I director, effective December 1, 2025. This fills the new vacancy created by the expansion of the board.
The company stated that Mr. Narayanan will receive no additional compensation for his service as a director. It also disclosed that there are no related-party arrangements or transactions involving him or his immediate family that require reporting, underscoring that the appointment is not tied to any disclosable agreements or transactions.