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. has filed a Form S-3 shelf registration statement allowing it to offer and sell from time to time up to $200,000,000 of securities, including common stock, preferred stock, warrants, rights and units. Specific terms and pricing for each issuance will be described in future prospectus supplements.
Unless otherwise described in a supplement, net proceeds from any sale of these securities are intended for general corporate purposes such as working capital, potential acquisitions and possible repayment, refinancing or redemption of debt. Stem’s common stock trades on the NYSE under the symbol “STEM”, with a last reported sale price of $16.02 per share on November 25, 2025. Shares of common stock outstanding were 8,390,208 as of October 22, 2025.
STEM, Inc. (STEM) reported an insider stock transaction by its President, Software Products. On 11/11/2025, the executive sold 9,584 shares of common stock at a price of $17.70 per share in an open market sale coded as “S.” After this transaction, the officer beneficially owned 1,872 shares of STEM common stock in direct ownership.
Stem, Inc. (STEM) reported an insider stock sale by its Chief Accounting Officer. The officer sold 3,674 shares of common stock on 11/18/2025 at a price of $16.21 per share, according to a Form 4 filing. After this transaction, the reporting person directly beneficially owned 0 shares of Stem common stock.
Stem, Inc. (STEM) has a notice of proposed sale of restricted stock under Rule 144. An affiliate plans to sell 3,674 common shares through Fidelity Brokerage Services LLC on or about 11/18/2025 on the NYSE, with an indicated aggregate market value of $59,539.74. These shares were acquired on 11/07/2025 via restricted stock vesting as compensation. The notice also reports that the same seller disposed of 2,076 common shares on 11/10/2025 for gross proceeds of $37,942.22. Common shares outstanding are stated as 8,390,208, providing context for the relative size of these transactions.
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.
Stem, Inc. (STEM) reported insider equity activity. On 11/07/2025, 13,750 RSUs converted one-for-one into common stock. On 11/10/2025, 6,743 shares were automatically sold at $18.27 to cover taxes related to the vesting. After these transactions, the reporting officer directly holds 17,384 shares.
The reporting person is the company’s President, Managed Services. The RSU award was granted on November 1, 2024 and vested 100% on November 7, 2025.
STEM, Inc. (STEM) reported an insider equity change by its Chief Accounting Officer. On 11/07/2025, 5,750 RSUs vested and converted one-for-one into common stock (code M). On 11/10/2025, 2,076 shares were automatically sold to cover taxes at $18.27 per share (code F), a non-discretionary sell-to-cover. Following these transactions, the officer directly holds 3,674 shares.
STEM, Inc. — Form 4 insider transaction: The Chief Legal Officer reported the vesting and settlement of 13,750 restricted stock units into common stock on 11/07/2025 (code M). On 11/10/2025, 3,379 shares were automatically sold at $18.27 (code F) to cover withholding taxes, described as a non‑discretionary “sell to cover.” Following these transactions, the reporting person beneficially owns 23,610 shares directly.
STEM filed a Form 144 notice for a proposed sale of 9,584 common shares following restricted stock vesting on 11/07/2025. The planned transaction lists an aggregate market value of $169,636.80, to be executed through Fidelity Brokerage Services LLC on or around 11/11/2025 on the NYSE.
The shares were acquired from the issuer as compensation upon vesting. The filer also reported a recent sale of 5,416 shares on 11/10/2025 for gross proceeds of $98,986.07.
STEM reported a Form 144 notice indicating a planned sale of common stock by a shareholder. The filing lists 6,743 shares to be sold with an aggregate market value of $123,239.11, through Fidelity Brokerage Services LLC on the NYSE, with an approximate sale date of 11/10/2025. The issuer’s common shares outstanding were 8,390,208.
The securities were acquired on 11/07/2025 via restricted stock vesting from the issuer as compensation. The filing also notes a recent transaction: Michael James Carlson sold 134 common shares on 10/02/2025 for $2,670.49. This notice reflects an intended sale by an affiliate or other holder under Rule 144.