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. reported that its Audit Committee approved the dismissal of Deloitte & Touche LLP as its independent registered public accounting firm on March 12, 2026, and notified Deloitte on March 13, 2026. Deloitte’s audit reports for the years ended December 31, 2024 and 2025 contained no adverse opinions, disclaimers, or qualifications as to uncertainty, audit scope, or accounting principles.
The company states there were no disagreements with Deloitte and no reportable events under SEC rules through March 12, 2026. On the same date, the Audit Committee approved the engagement of RSM US LLP as the new independent auditor, starting with the quarter ending March 31, 2026 and the 2026 year-end audit, subject to customary client acceptance procedures. A Deloitte letter to the SEC regarding these disclosures is filed as an exhibit.
STEM, INC. executive Matthew Tappin, President, Software Products, reported an open-market sale of 402 shares of common stock on March 11, 2026 at an average price of $10.83 per share. After this transaction, he directly holds 2,823 shares. The sale was executed under a pre-arranged Rule 10b5-1 trading plan adopted on March 18, 2025, indicating it was scheduled in advance rather than timed discretionarily.
STEM reported proposed insider sales under a Form 144 notice, identifying multiple recent dispositions of Common Stock by Matthew Tappin. The excerpt lists specific sales on 02/19/2026, 02/20/2026, 03/03/2026, 03/04/2026, and 03/10/2026 with per‑trade share counts of 522, 366, 300, 185, and 655 respectively.
The filing also shows an entry associated with Fidelity Brokerage Services LLC and a record line dated 03/11/2026. These items are presented as notices of proposed resale under Section 144; the excerpt does not state settlement details or cumulative totals.
STEM, INC. President of Software Products Matthew Tappin settled equity awards and related taxes. On March 7, 2026, 1,458 restricted stock units converted into 1,458 common shares at a conversion price of $0.00 per share on a one-for-one basis.
In connection with this settlement, 655 common shares were automatically sold in a “sell to cover” transaction at $11.12 per share to satisfy tax liabilities, which the company notes was not a discretionary trade. After these transactions, Tappin held 3,225 common shares directly, with no remaining derivative position reported.
STEM, INC. Chief Legal Officer Saul R. Laureles reported routine equity compensation activity. On March 7, 2026, 2,916 restricted stock units converted into an equal number of common shares at a price of $0.00 per share.
In connection with this vesting, 942 common shares were automatically sold on March 10, 2026 at $11.12 per share to cover the related tax liability, a “sell to cover” transaction described as non-discretionary for the reporting person. After these transactions, Laureles directly holds 27,450 common shares.
STEM, INC. executive Michael James Carlson, President, Managed Services, reported routine equity compensation activity. On March 7, 2026, 3,541 RSUs vested and converted into the same number of common shares at $0.00 per share, the second installment from a 10,625 RSU grant dated May 28, 2024.
On March 10, 2026, 2,079 common shares were automatically sold at $11.12 per share to cover the related tax liability, a non-discretionary “sell to cover” transaction. Following these events, Carlson directly holds 19,458 common shares and 3,516 RSUs.
Stem, Inc. CEO Arun Narayanan reported a mix of compensation-related stock activity. On March 7, 2026, restricted stock units (RSUs) converted one-for-one into 18,125 shares of common stock at a $0.00 conversion price, reflecting vesting of awards granted on January 27, 2025. The Form 4 shows remaining unvested RSU balances of 25,000 and 5,625 units from those grants. To cover tax obligations from the RSU settlement, 5,145 common shares were automatically sold on March 10, 2026 at $11.12 per share in an open-market transaction that the filing states was a non-discretionary “sell to cover” trade. Following these transactions, Narayanan directly holds 12,980 common shares.
Matthew Tappin submitted a Form 144 notice concerning 655 shares of Common Stock tied to restricted stock vesting on 03/06/2026. The filing also lists four reported dispositions by Tappin in the prior three months: 522 (02/19/2026), 366 (02/20/2026), 300 (03/03/2026) and 185 (03/04/2026) shares, with per‑trade gross proceeds shown in the excerpt.
STEM submitted a Form 144 notice proposing the sale of 2,079 shares of Common Stock tied to a restricted stock vesting event on 03/06/2026. The filing also lists a prior sale of 730 shares on 02/19/2026 by Michael Carlson.
Saul Laureles filed a Form 144 proposing to sell 942 shares of Common stock. The excerpt lists the securities to be sold as Restricted Stock Vesting (03/06/2026) and shows prior sales of 536 shares on 02/19/2026 and 292 shares on 03/03/2026. Broker details for Fidelity Brokerage Services LLC and an entry dated 03/10/2026 appear in the excerpt.