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. executive Michael James Carlson, President, Managed Services, reported an automatic sale of 730 shares of common stock on February 19, 2026 at $11.30 per share. The shares were sold solely to cover his tax liability from a previously settled restricted stock unit award. After this tax-withholding disposition, he directly holds 17,996 Stem shares. The filing notes this "sell to cover" transaction was not a discretionary trade by Carlson.
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 February 15, 2026, 1,253 RSUs converted into 1,253 shares of common stock at a price of $0.00 per share on a one-for-one basis.
These RSUs were part of a 3,684-unit grant awarded on February 15, 2023, which vested in three equal annual installments; the third installment vested on February 15, 2026. Following the conversion, Tappin directly owned 3,125 common shares.
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.