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. amended its bylaws to lower the quorum required to conduct business at stockholder meetings from a majority of the voting power to one-third of the voting power, effective upon Board approval on October 15, 2025. The company cited difficulty achieving a quorum given its large and dispersed stockholder base. This change is intended to reduce the risk of meeting adjournments and the associated added costs for meeting hosting and proxy solicitation, as well as potential operational disruptions and management distractions. The full text of the amendment is filed as Exhibit 3.1.
Brian Musfeldt, Chief Financial Officer of STEM, Inc. (STEM), amended a Form 4 to report equity awards granted on 07/17/2025. The amendment discloses 2,500 RSUs that vest 100% on 08/07/2027, 6,750 PSUs that vest upon meeting a volume-weighted average price target over any consecutive 60 trading-day period, and 1,250 stock options with an exercise price of $9.27 that expire on 07/17/2035 and vest 100% on 08/07/2027. The amended filing corrects omissions and an earlier miscount: the original Form 4 omitted the RSUs and options and reported 5,500 PSUs instead of 6,750 PSUs. All reported awards are listed as direct holdings.
STEM, Inc. filing a Form 144 reports a proposed sale of 134 shares of common stock, with an aggregate market value of $2,670.49, to be sold on or about 10/02/2025 on the NYSE. The shares were acquired by the seller on 09/26/2025 through restricted stock vesting and were received as compensation. The filing lists 8,359,047 shares outstanding for the class. The filer reports no sales of the issuer's securities by the seller in the past three months and includes the standard signer representation that they are not aware of undisclosed material adverse information about the issuer.
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
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.
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