Basisstatistiken
| LEI | 549300GVWIYFILN5V546 |
| CIK | 1758766 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Stem, Inc.
SEC Filings (Chronological Order)
Auf dieser Seite finden Sie eine vollständige, chronologische Liste der SEC-Einreichungen, mit Ausnahme der Eigentumseinreichungen, die wir an anderer Stelle bereitstellen.
| June 3, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): June 3, 2026 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS |
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| June 3, 2026 |
Exhibit 10 APPENDIX A STEM, INC. SECOND AMENDED & RESTATED 2024 EQUITY INCENTIVE PLAN Amended and Restated as of June 3, 2026 (the “Effective Date”) 1. GENERAL. (a) Purpose. This Plan, through the granting of Awards, is intended to help the Company secure and retain the services of eligible award recipients, provide incentives for such persons to exert maximum efforts for the success of the Compan |
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| June 2, 2026 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Stem, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forwar |
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| June 2, 2026 |
As filed with the Securities and Exchange Commission on June 2, 2026 As filed with the Securities and Exchange Commission on June 2, 2026 Registration No. |
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| June 1, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT Stem, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or other jurisdiction of incorporation or organization) (Commission File Number) (I.R.S. Employer Identification No.) 1400 Post Oak Boulevard., Suite 560, Houston, Texas 77056 (Address of |
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| June 1, 2026 |
STEM, INC. CONFLICT MINERALS REPORT FOR THE FISCAL YEAR ENDED DECEMBER 31, 2025 Exhibit 1.01 STEM, INC. CONFLICT MINERALS REPORT FOR THE FISCAL YEAR ENDED DECEMBER 31, 2025 This Conflict Minerals Report (the “Report”) of Stem, Inc. (the “Company,” “Stem,” “we” or “our”) has been prepared pursuant to Rule 13p-1 and Form SD (the “Rule”) promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2025 to December 31, 2025. The Rule |
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| May 7, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————————————— FORM 10-Q ————————————————— ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2026 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to STEM, INC. (Exact |
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| May 6, 2026 |
Exhibit 99 Stem Announces First Quarter 2026 Results PowerTrackTM software revenue up 16% YoY Software, services, and edge hardware revenue up 4% YoY to $29M Achieved fourth consecutive quarter of positive adjusted EBITDA Reaffirming full year 2026 financial and operating guidance across all metrics HOUSTON – May 6, 2026 – Stem, Inc. |
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| May 6, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): May 6, 2026 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS E |
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| April 27, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| April 24, 2026 |
annualreport UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————————————— FORM 10-K ————————————————— ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to STEM, INC. |
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| April 24, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| March 17, 2026 |
March 17, 2026 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-7561 Dear Sirs/Madams: We have read Item 4.01 of Stem Inc.’s Form 8-k dated March 12, 2026, and have the following comments: 1.We agree with the statements made in the first, second, third, and fourth paragraphs. 2.We have no basis on which to agree or disagree with the statements made in the fifth paragrap |
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| March 17, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): March 12, 2026 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR |
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| March 6, 2026 |
PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To Prospectus dated November 26, 2025) Registration No. |
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| March 6, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): March 6, 2026 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS |
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| March 6, 2026 |
Exhibit 1 OPEN MARKET SALE AGREEMENT1 March 6, 2026 JEFFERIES LLC 520 Madison Avenue New York, New York 10022 Ladies and Gentlemen: Stem, Inc. |
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| March 5, 2026 |
EXECUTIVE EMPLOYMENT AGREEMENT Exhibit 10.20 EXECUTIVE EMPLOYMENT AGREEMENT This Executive Employment Agreement (the “Agreement”) is entered into as of September 16, 2024, by and between David Buzby (“Executive”) and Stem, Inc., a Delaware corporation (the “Company”). WHEREAS, Executive is a member of the Board of Directors of the Company (the “Board”); and WHEREAS, the Chief Executive Officer (“CEO”) of the Company stepped dow |
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| March 5, 2026 |
Exhibit 24 Powers of Attorney Each of the undersigned, in the capacity or capacities set forth below his or her signature as a member of the Board of Directors and/or an officer of Stem, Inc. |
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| March 5, 2026 |
Exhibit 21 STEM, INC. SUBSIDIARIES OF REGISTRANT (as of December 31, 2025) Subsidiary Name Country or state of incorporation AlsoEnergy Holdings, Inc. Delaware Stem US Holdings Inc. Delaware Stem US Operations Inc. Delaware |
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| March 5, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————————————— FORM 10-K ————————————————— ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to STEM, INC. (Exact name |
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| March 5, 2026 |
INSIDER TRADING POLICY (effective as of October 15, 2025) INSIDER TRADING POLICY (effective as of October 15, 2025) This Policy supersedes all previous Stem, Inc. |
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| March 4, 2026 |
Exhibit 99 Stem Announces Fourth Quarter and Full Year 2025 Results Delivered Transformative 2025, Achieving First-Ever Full Year Positive Adjusted EBITDA Software-Centric Strategy Drives Revenue Growth, Record Margins, and Significant Cost Reductions Introducing 2026 Guidance, Targeting ~85% Adjusted EBITDA Growth and 10% ARR Expansion Fourth Quarter and Full Year 2025 Financial and Operating Highlights Financial Highlights - Full Year 2025 •Revenue of $156. |
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| March 4, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): March 4, 2026 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS |
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| December 19, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): December 17, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| December 16, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): December 11, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| December 9, 2025 |
December 9, 2025 Via Edgar Only United States Securities and Exchange Commission 100 F Street, NE Washington, D. |
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| December 3, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): December 1, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| December 3, 2025 |
Stem Board of Directors Appoints CEO Arun Narayanan to Board Exhibit 99 Stem Board of Directors Appoints CEO Arun Narayanan to Board HOUSTON – Dec. |
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| November 26, 2025 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) STEM, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered (2) Proposed Maximum Offering Price Per Unit (2) Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carr |
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| November 26, 2025 |
As filed with the Securities and Exchange Commission on November 26, 2025 As filed with the Securities and Exchange Commission on November 26, 2025 Registration No. |
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| October 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————————————— FORM 10-Q ————————————————— ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to STEM, INC. (Ex |
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| October 30, 2025 |
SEPARATION AND RELEASE OF CLAIMS AGREEMENT Exhibit 10.2 SEPARATION AND RELEASE OF CLAIMS AGREEMENT This Separation and Release of Claims Agreement (as may be amended, the “Agreement”) constitutes a binding agreement between Spencer Doran Hole (“Executive”), an individual, and the Company (as defined in the next paragraph), effective as of the Effective Date (as defined below). Executive and the Company are collectively referred to as the “ |
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| October 30, 2025 |
Exhibit 10.3 ADVISORY AGREEMENT This Advisory Agreement (as may be amended, the “Agreement”) is entered into between Stem, Inc. (“Company”) and Spencer Doran Hole (“Advisor”) effective as of July 17, 2025 (“Effective Date”). Company and Advisor agree as follows: 1.Background; Services. Effective as of the Effective Date, Advisor has resigned from his position as Chief Financial Officer (“CFO”) and |
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| October 30, 2025 |
Exhibit 3.3 [AS AMENDED AND RESTATED ON OCTOBER 15, 2025] SECOND AMENDED AND RESTATED BYLAWS OF STEM, INC. (a Delaware corporation) ARTICLE I CORPORATE OFFICES Section 1.1 Registered Office. The registered office of Stem, Inc. (the “Company”) will be fixed in the Certificate of Incorporation of the Company. Section 1.2 Other Offices. The Company may also have an office or offices, and keep the boo |
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| October 29, 2025 |
Exhibit 99 Stem Announces Third Quarter 2025 Results Increased revenue by 31% YoY to $38 million Executed second consecutive quarter of positive adjusted EBITDA Increased ARR by 3% QoQ and 17% YoY to $60 million, evidencing continued software-focused strategy execution Achieved third consecutive quarter of strong gross margins Refining and de-risking full-year 2025 financial and operating guidance HOUSTON – Oct. |
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| October 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): October 29, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| October 16, 2025 |
AMENDMENT DATED OCTOBER 15, 2025 TO THE AMENDED AND RESTATED BYLAWS STEM, INC. Exhibit 3 AMENDMENT DATED OCTOBER 15, 2025 TO THE AMENDED AND RESTATED BYLAWS OF STEM, INC. |
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| October 16, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): October 15, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| October 2, 2025 |
144 0001948274 XXXXXXXX LIVE 0001758766 STEM, INC. 001-39455 1400 POST OAK BOULEVARD, SUITE 560 HOUSTON TX 77056 877-374-7836 Carlson Michael James Officer Common Fidelity Brokerage Services LLC 900 Salem Street Smithfield RI 02917 134 2670.49 8359047 10/02/2025 NYSE Common 09/26/2025 Restricted Stock Vesting Issuer N 134 09/26/2025 Compensation Y Sale includes an amount necessary to cover a tax o |
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| September 9, 2025 |
Stem, Inc. Letter to Shareholders – Reflecting on our journey of strategic realignment Stem, Inc. Letter to Shareholders – Reflecting on our journey of strategic realignment Sept. 9, 2025 Dear Stem Shareholders, It has been 12 months since we announced our strategic realignment, and I want to take the opportunity to reflect on the strides we have made in transforming our business. This year has marked a journey in strategic change and realignment, and we are well on our way to succe |
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| September 9, 2025 |
STEM, INC. Up to 439,919 Shares of Common Stock 439,919 Warrants to Purchase Shares of Common Stock PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To Prospectus dated September 2, 2025) Registration No. |
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| September 9, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): September 9, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| September 8, 2025 |
X0101 EFFECT 33 LIVE 2025-09-08 16:30:00 S-3 0001758766 STEM, INC. 333-289989 |
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| September 4, 2025 |
September 4, 2025 Via Edgar Only United States Securities and Exchange Commission 100 F Street, N. |
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| September 4, 2025 |
September 4, 2025 Saul Laureles Chief Legal Officer STEM, INC. 1400 Post Oak Boulevard Suite 560 Houston, Texas 77056 Re: STEM, INC. Registration Statement on Form S-3 Filed September 2, 2025 File No. 333-289989 Dear Saul Laureles: This is to advise you that we have not reviewed and will not review your registration statement. Please refer to Rules 460 and 461 regarding requests for acceleration. |
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| September 2, 2025 |
Calculation of Filing Fee Tables Form S-3 (Form Type) Stem, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type |
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| September 2, 2025 |
As filed with the Securities and Exchange Commission on September 2, 2025 As filed with the Securities and Exchange Commission on September 2, 2025 Registration No. |
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| August 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————————————— FORM 10-Q ————————————————— ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to STEM, INC. (Exact n |
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| August 7, 2025 |
Exhibit 99 Stem Announces Second Quarter 2025 Results Increased revenue by 13% YoY to $38M Achieved positive adjusted EBITDA by driving cost savings efforts Increased ARR by 3% QoQ and 22% YoY to $59M evidencing continued software-focused strategy execution Tracking towards the high end of guidance for nearly all metrics HOUSTON – August 7, 2025 – Stem, Inc. |
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| August 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): August 7, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR |
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| July 22, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Amendment No. 2 CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): June 30, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission |
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| July 9, 2025 |
Exhibit 24.1 POWER OF ATTORNEY Each of the undersigned, being a director or officer, or both, of Stem, Inc., a Delaware corporation (the “Company”), hereby constitutes and appoints each of Arun Narayanan and Saul R. Laureles as the individual’s true and lawful attorneys-in-fact and agents, each, with full power of substitution and resubstitution and with full power to act without the other, for hi |
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| July 9, 2025 |
Exhibit 107.1 Calculation of Filing Fee Tables FORM S-8 (Form Type) STEM, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title (1) Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common stock, par value $0.00 |
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| July 9, 2025 |
As filed with the Securities and Exchange Commission on July 9, 2025 S-8 As filed with the Securities and Exchange Commission on July 9, 2025 Registration No. |
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| July 9, 2025 |
Stem, Inc. Amended and Restated 2024 Equity Incentive Plan Exhibit 10.1 STEM, INC. AMENDED & RESTATED 2024 EQUITY INCENTIVE PLAN STEM, INC. 2024 EQUITY INCENTIVE PLAN Amended and Restated as of June 4, 2025 (the “Effective Date”) 1. GENERAL. (a) Purpose. This Plan, through the granting of Awards, is intended to help the Company secure and retain the services of eligible award recipients, provide incentives for such persons to exert maximum efforts for the |
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| July 3, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): June 30, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| July 2, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): June 30, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS |
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| July 2, 2025 |
Exhibit 99 Stem Appoints New Chief Financial Officer Brian Musfeldt named Chief Financial Officer as Stem continues growth trajectory following strategic realignment HOUSTON, July 2, 2025 – Stem, Inc. |
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| June 30, 2025 |
EX-4.1 Exhibit 4.1 STEM, INC. as Company and the Guarantors party hereto from time to time 12.00%/11.00% Senior Secured PIK Toggle Notes due 2030 INDENTURE Dated as of June 30, 2025 and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION as Trustee and Notes Collateral Agent TABLE OF CONTENTS Page ARTICLE I. DEFINITIONS 1 SECTION 1.01 Definitions 1 SECTION 1.02 Other Definitions 22 SECTION 1.03 Rules of |
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| June 30, 2025 |
Exhibit 99 Stem, Inc. Significantly Strengthens Balance Sheet Through Convertible Notes Exchange and New Notes Issuance Exchanges $350 million in aggregate principal amount of 2028 and 2030 Convertible Senior Notes and raises $10 million of cash for $155 million in new First Lien Notes due 2030 Reduces outstanding debt by nearly $200 million and extends maturity profile Significantly strengthens b |
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| June 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): June 30, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS |
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| June 30, 2025 |
EX-4.3 Exhibit 4.3 WARRANT AGREEMENT BETWEEN STEM, INC. AND COMPUTERSHARE INC. AND COMPUTERSHARE TRUST COMPANY, N.A. AS WARRANT AGENT June 30, 2025 TABLE OF CONTENTS Page SECTION 1. Appointment of Warrant Agent 1 SECTION 2. Issuances; Exercise Price 1 SECTION 3. Form of Warrants 2 SECTION 4. Execution of Global Warrant Certificates 2 SECTION 5. Registration and Countersignature 3 SECTION 6. Regist |
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| June 16, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): June 11, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS |
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| June 16, 2025 |
EXHIBIT 3.1 Delaware The First State Page 1 I, CHARUNI PATIBANDA-SANCHEZ, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED IS A TRUE AND CORRECT COPY OF THE CERTIFICATE OF AMENDMENT OF “STEM, INC.”, FILED IN THIS OFFICE ON THE ELEVENTH DAY OF JUNE, A.D. 2025, AT 4 O`CLOCK P.M. AND I DO HEREBY FURTHER CERTIFY THAT THE EFFECTIVE DATE OF THE AFORESAID CERTIFICATE OF AMENDME |
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| June 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 4, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| June 2, 2025 |
Exhibit 1.01 STEM, INC. CONFLICT MINERALS REPORT FOR THE FISCAL YEAR ENDED DECEMBER 31, 2024 This Conflict Minerals Report (the “Report”) of Stem, Inc. (the “Company,” “Stem,” “we” or “our”) has been prepared pursuant to Rule 13p-1 and Form SD (the “Rule”) promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2024 to December 31, 2024. The Rule |
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| June 2, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT Stem, Inc. (Exact name of the registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or other jurisdiction of incorporation or organization) (Commission File Number) (I.R.S. Employer Identification No.) 4 Embarcadero Ctr., Suite 710, San Francisco, California, 94111 ( |
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| May 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defi |
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| May 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| April 30, 2025 |
EXHIBIT 10.1 AMENDMENT TO EXECUTIVE EMPLOYMENT AGREEMENT This Amendment to Executive Employment Agreement (this “Amendment”) by and between David Buzby (“Executive”) and Stem, Inc., a Delaware corporation (the “Company”) is effective as of January 1, 2025 (the “Amendment Date”). WHEREAS, Executive and the Company are parties to the Executive Employment Agreement dated as of September 16, 2024 (the |
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| April 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————————————— FORM 10-Q ————————————————— ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to STEM, INC. (Exact |
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| April 30, 2025 |
EXHIBIT 10.2 Execution Copy SEPARATION AND RELEASE OF CLAIMS AGREEMENT This Separation and Release of Claims Agreement (as may be amended, the “Agreement”) constitutes a binding agreement between William Bush (“Executive”), an individual residing at P.O. Box 4687, Ketchum, Idaho, 83340, and the Company (as defined below), effective as of the Effective Date (as defined in Section 19 below). Executi |
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| April 30, 2025 |
EXHIBIT 10.3 Execution Copy SEPARATION AND RELEASE OF CLAIMS AGREEMENT This Separation and Release of Claims Agreement (as may be amended, the “Agreement”) constitutes a binding agreement between John E. Carrington (“Executive”), an individual, and the Company (as defined in the next paragraph), effective as of the Effective Date (as defined below). Executive and the Company are collectively refer |
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| April 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): April 29, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR |
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| April 29, 2025 |
Exhibit 99 Stem Announces First Quarter 2025 Results Achieved strong GAAP and non-GAAP gross margins First quarter of positive operating cash flow in company history Increased ARR by 8% sequentially to $57M Implemented targeted workforce reductions, driving estimated $30M in annualized cash cost savings Reaffirming full year 2025 guidance across all metrics First Quarter 2025 Financial and Operating Highlights Financial Highlights •Revenue of $32. |
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| April 23, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| April 23, 2025 |
(! '&''& &(% ' &!+!" && "! *0B78=6C>= UUUUUUUUUUUUUUUUU "% UUUUUUUUUUUUUUUUU !!( %#"%'#(%&(!''"&' "! "% 3"'&(% ' & +!'" >AC7458B20;H40A4=343424<14A "% '%!& ' "!%#"%'#(%&(!''"&' "! "% 3"'&(% ' &+!'" >AC74CA0=B8C8>=?4A8>35A><////////C>//////// &' ! L5 |
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| April 23, 2025 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule |
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| April 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 9, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| April 14, 2025 |
Exhibit 99 INTERNAL CONFIDENTIAL COMMUNICATION All, As highlighted in previous meetings, the company faces a large debt burden, limited operating cash, and is not operationally profitable. |
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| April 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| March 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): March 24, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| March 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): March 13, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR |
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| March 18, 2025 |
Exhibit 99 Stem Appoints Software and Finance Veterans to Board of Directors Appointments bolster Board and advance Company’s software-forward strategy SAN FRANCISCO – March 18, 2025 – Stem (NYSE: STEM), a global leader in AI-enabled clean energy software and services, today announced that its Board of Directors has appointed Mr. |
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| March 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): March 6, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS |
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| March 5, 2025 |
EXHIBIT 97 STEM, INC. CLAWBACK POLICY (adopted 10.26.23) The Board of Directors (the “Board”) of Stem, Inc. (the “Company”) believes that it is in the best interests of the Company and its stockholders to adopt this Clawback Policy (the “Policy”), which provides for the recovery of certain incentive-based compensation in the event of an Accounting Restatement (as defined below). This Policy is des |
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| March 5, 2025 |
Executive Employment Agreement dated September 16, 2024 by and between the Company and David Buzby. Exhibit 10.20 EXECUTIVE EMPLOYMENT AGREEMENT This Executive Employment Agreement (the “Agreement”) is entered into as of September 16, 2024, by and between David Buzby (“Executive”) and Stem, Inc., a Delaware corporation (the “Company”). WHEREAS, Executive is a member of the Board of Directors of the Company (the “Board”); and WHEREAS, the Chief Executive Officer (“CEO”) of the Company stepped dow |
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| March 5, 2025 |
Exhibit 24 Powers of Attorney Each of the undersigned, in the capacity or capacities set forth below his or her signature as a member of the Board of Directors and/or an officer of Stem, Inc. |
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| March 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————————————— FORM 10-K ————————————————— ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to STEM, INC. (Exact name |
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| March 5, 2025 |
Stem, Inc. Insider Trading Policy EXHIBIT 19 INSIDER TRADING POLICY (dated May 26, 2021) Executive Summary The following description is a summary of select material provisions of Stem’s Insider Trading Policy. |
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| March 5, 2025 |
Subsidiaries of the Registrant. Exhibit 21 STEM, INC. SUBSIDIARIES OF REGISTRANT (as of December 31, 2024) Subsidiary Name Country or state of incorporation AlsoEnergy Holdings, Inc. Delaware Stem US Holdings Inc. Delaware Stem US Operations Inc. Delaware |
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| March 4, 2025 |
Exhibit 99 Stem Announces Fourth Quarter and Full Year 2024 Results Focused on Driving Ongoing Business Transformation Target Approximately ~15% ARR Growth in 2025, Enabled by Stem’s Recently Introduced Software and Services-Centric Strategy to Drive Scalable Growth and Profitability PowerTrack Continues Expansion into International Markets with 484 MW Contract in Hungary Fourth Quarter and Full Year 2024 Financial and Operating Highlights Financial Highlights – Fourth Quarter 2024 •Revenue of $55. |
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| March 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): March 4, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS |
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| February 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 25, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| February 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Amendment No. 1 CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 6, 2024 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commis |
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| January 21, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 17, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| January 16, 2025 |
EX-99 Exhibit 99 Stem Names Software Veteran Arun Narayanan as Chief Executive Officer Proven software executive with more than 25 years of experience to lead Company in execution of its software-focused strategy Concludes CEO search announced in September 2024 and advances Stem’s transformation to a software and services company David Buzby to step down as Interim CEO and Executive Chair, will remain Board Chair SAN FRANCISCO – January 16, 2025 – Stem, Inc. |
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| January 16, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 14, 2025 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| November 14, 2024 |
STEM / Stem, Inc. / SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC/ DE - SC 13G Passive Investment SC 13G 1 ef20038629sc13g.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Stem Inc (Name of Issuer) Common Stock (Title of Class of Securities) 85859N102 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| November 12, 2024 |
STEM / Stem, Inc. / VANGUARD GROUP INC Passive Investment 240.13d-102 Schedule 13G - Information to be included in statements filed pursuant to 240.13d-1(b), (c), and (d) and amendments thereto filed pursuant to 240.13d-2. Securities and Exchange Commission, Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* (Name of Issuer) Stem Inc (Title of Class of Securities) Common Stock (CUSIP Number) 85859N102 (Date o |
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| November 4, 2024 |
STEM / Stem, Inc. / VANGUARD GROUP INC Passive Investment SC 13G/A 1 UnitedStates13GStemIncUS8.txt 240.13d-102 Schedule 13G - Information to be included in statements filed pursuant to 240.13d-1(b), (c), and (d) and amendments thereto filed pursuant to 240.13d-2. Securities and Exchange Commission, Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* (Name of Issuer) Stem Inc (Title of Class of Securities) Comm |
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| November 4, 2024 |
STEM / Stem, Inc. / VANGUARD GROUP INC Passive Investment SC 13G/A 1 UnitedStates13GStemIncUS8.txt 240.13d-102 Schedule 13G - Information to be included in statements filed pursuant to 240.13d-1(b), (c), and (d) and amendments thereto filed pursuant to 240.13d-2. Securities and Exchange Commission, Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* (Name of Issuer) Stem Inc (Title of Class of Securities) Comm |
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| October 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————————————— FORM 10-Q ————————————————— ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to STEM, INC. (Ex |
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| October 31, 2024 |
EXHIBIT 10.1 Execution Copy SEPARATION AND RELEASE OF CLAIMS AGREEMENT This Separation and Release of Claims Agreement (as may be amended, the “Agreement”) constitutes a binding agreement between Prakesh Patel (“Executive”), an individual, and the Company (as defined in the next paragraph), effective as of the Effective Date (as defined below). Executive and the Company are collectively referred t |
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| October 30, 2024 |
Exhibit 99 Stem Announces Third Quarter 2024 Results New Strategy Implementation in Progress Increased ARR by more than $3M in 3Q, Representing +7% QoQ Growth Revising Full Year 2024 Guidance for Several Key Metrics Third Quarter 2024 Financial and Operating Highlights Financial Highlights •Revenue of $29. |
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| October 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): October 30, 2024 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| October 1, 2024 |
Exhibit 99 Stem Announces New Software and Services-Centric Strategy to Drive Scalable Growth and Profitability Refined go-to-market strategy and leadership structure emphasizing software and services; expanding energy consulting offerings Actions expected to drive more scalable, recurring, and profitable revenue streams with improved working capital and cash flow profile Company to provide additional details on strategy roadmap on third quarter 2024 earnings call SAN FRANCISCO, October 1, 2024 – Stem, Inc. |
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| October 1, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): October 1, 2024 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| September 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): September 11, 2024 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| September 16, 2024 |
Exhibit 99 Stem Announces CEO Transition John Carrington Steps Down as CEO, to Serve in Advisory Role for Remainder of 2024 Board Appoints David Buzby as Interim Chief Executive Officer SAN FRANCISCO, September 16, 2024 – Stem, Inc. |
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| August 30, 2024 |
Stem, Inc. Receives Continued Listing Standard Notice from NYSE Exhibit 99 Stem, Inc. Receives Continued Listing Standard Notice from NYSE SAN FRANCISCO – August 30, 2024 – Stem, Inc. (“Stem” or the “Company”) (NYSE: STEM) today announced that, on August 28, 2024, it had received a written notice from the New York Stock Exchange (the “NYSE”) that the average closing price of its shares of common stock had fallen below $1.00 per share over a period of 30 consec |
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| August 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): August 28, 2024 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| August 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): August 8, 2024 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR |
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| August 8, 2024 |
Exhibit 99 Stem Announces Leadership Changes Doran Hole Named Chief Financial Officer and Executive Vice President David Buzby Named Executive Chair of the Board; Laura D’Andrea Tyson Named Lead Independent Director of the Board Company Initiates Strategic Review of Business Company Separately Reports Second Quarter 2024 Earnings; Conference Call at 5:00 p. |
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| August 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): August 7, 2024 (August 6, 2024) STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission |
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| August 7, 2024 |
Form of Stock Option Agreement under the Stem, Inc. 2024 Equity Incentive Plan EXHIBIT 10.4 STEM, INC. 2024 EQUITY INCENTIVE PLAN STOCK OPTION AGREEMENT Unless otherwise defined herein, the terms defined in the 2024 Equity Incentive Plan (the “Plan”) shall have the same defined meanings in this Stock Option Agreement (the “Option Agreement”). I.NOTICE OF STOCK OPTION GRANT Name: The undersigned Participant has been granted an Option to purchase Common Stock of the Company, s |
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| August 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————————————— FORM 10-Q ————————————————— ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to STEM, INC. (Exact n |
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| August 7, 2024 |
Form of Stock Option Agreement under the Stem, Inc. 2021 Equity Incentive Plan EXHIBIT 10.3 STEM, INC. 2021 EQUITY INCENTIVE PLAN STOCK OPTION AGREEMENT Unless otherwise defined herein, the terms defined in the 2021 Equity Incentive Plan (the “Plan”) shall have the same defined meanings in this Stock Option Agreement (the “Option Agreement”). I.NOTICE OF STOCK OPTION GRANT Name: The undersigned Participant has been granted an Option to purchase Common Stock of the Company, s |
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| August 7, 2024 |
Form of Stock Option Agreement under the Stem, Inc. 2009 Equity Incentive Plan EXHIBIT 10.2 STEM, INC. 2009 EQUITY INCENTIVE PLAN STOCK OPTION AGREEMENT Unless otherwise defined herein, the terms defined in the 2009 Equity Incentive Plan (the “Plan”) shall have the same defined meanings in this Stock Option Agreement (the “Option Agreement”). I.NOTICE OF STOCK OPTION GRANT Name: The undersigned Participant has been granted an Option to purchase Common Stock of the Company, s |
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| August 6, 2024 |
Exhibit 99 Stem Announces Second Quarter 2024 Results Revising Full Year 2024 Guidance Activated $3 million of ARR in 2Q, Representing +7% QoQ Growth Expect Full Year Positive Operating Cash Flow Bill Bush to step down as CFO effective September 2, 2024; Doran Hole to be named CFO as part of planned succession Second Quarter 2024 Financial and Operating Highlights Financial Highlights •Revenue of $34. |
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| August 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): August 6, 2024 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR |
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| July 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 28, 2024 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| May 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT Stem, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39455 (State or other jurisdiction of incorporation or organization) (Commission File Number) 100 California St., 14th Floor, San Francisco, California, 94111 (Address of principal executive offices) (zip code) |
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| May 31, 2024 |
Exhibit 1.01 – Conflict Minerals Report. Exhibit 1.01 STEM, INC. CONFLICT MINERALS REPORT FOR THE FISCAL YEAR ENDED DECEMBER 31, 2023 This Conflict Minerals Report (the “Report”) of Stem, Inc. (the “Company,” “Stem,” “we” or “our”) has been prepared pursuant to Rule 13p-1 and Form SD (the “Rule”) promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2023 to December 31, 2023. The Rule |
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| May 29, 2024 |
Stem, Inc. 2024 Equity Incentive Plan Exhibit 10.1 STEM, INC. 2024 EQUITY INCENTIVE PLAN Effective Date: May 29, 2024 1. GENERAL. (a) Purpose. This Plan, through the granting of Awards, is intended to help the Company secure and retain the services of eligible award recipients, provide incentives for such persons to exert maximum efforts for the success of the Company and any Affiliate and provide a means by which the eligible award r |
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| May 29, 2024 |
As filed with the Securities and Exchange Commission on May 29, 2024 As filed with the Securities and Exchange Commission on May 29, 2024 Registration No. |
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| May 29, 2024 |
Exhibit 107.1 Calculation of Filing Fee Tables FORM S-8 (Form Type) Stem, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Proposed Maximum Offering Maximum Amount of Security Fee Calculation Amount Price Per Aggregate Registration Type Security Class Title (1) Rule Registered (1) Unit Offering Price Fee Rate Fee Equity Common stock, par value $0.000 |
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| May 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 29, 2024 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| May 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————————————— FORM 10-Q ————————————————— ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to STEM, INC. (Exact |
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| May 2, 2024 |
Exhibit 99 Stem Announces First Quarter 2024 Results Substantial increase of +42% CARR-to-ARR conversion since January 2024 Introducing Next Generation Asset Performance Management Software Suite Reaffirming Full Year 2024 Operating Cash Flow, Adjusted EBITDA, Gross Margin and Bookings Guidance First Quarter 2024 Financial and Operating Highlights Financial Highlights1 •Revenue of $25. |
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| May 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): May 2, 2024 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS E |
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| April 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| April 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): April 19, 2024 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR |
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| April 19, 2024 |
Stem Announces Appointment of AI Industry Leader as New Independent Director EXHIBIT 99 Stem Announces Appointment of AI Industry Leader as New Independent Director SAN FRANCISCO – April 19, 2024 – Stem, Inc. |
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| April 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————————————— FORM 10-K ————————————————— ☒ QUARTERLY ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ QUARTERLY TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to STE |
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| April 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| April 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| March 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Amendment No. 1 CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): February 28, 2024 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commis |
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| March 4, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): February 28, 2024 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| February 29, 2024 |
EXHIBIT 97 STEM, INC. CLAWBACK POLICY (adopted 10.26.23) The Board of Directors (the “Board”) of Stem, Inc. (the “Company”) believes that it is in the best interests of the Company and its stockholders to adopt this Clawback Policy (the “Policy”), which provides for the recovery of certain incentive-based compensation in the event of an Accounting Restatement (as defined below). This Policy is des |
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| February 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————————————— FORM 10-K ————————————————— ☒ QUARTERLY ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ QUARTERLY TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to STE |
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| February 29, 2024 |
Global Restricted Stock Unit Award Agreement under the Stem, Inc. 2021 Equity Incentive Plan EXHIBIT 10.8 STEM, INC. GLOBAL RESTRICTED STOCK UNIT AWARD AGREEMENT RECITALS A. The Board has adopted the Stem, Inc. 2021 Equity Incentive Plan (as amended from time to time, the “Plan”) to provide incentives to attract, retain and motivate eligible Employees, Directors and Consultants. B. This Agreement is executed pursuant to, and is intended to carry out the purposes of, the Plan in connection |
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| February 29, 2024 |
Form of Stock Option Agreement under the Stem, Inc. 2021 Equity Incentive Plan EXHIBIT 10.7 STEM, INC. 2021 EQUITY INCENTIVE PLAN STOCK OPTION AGREEMENT Unless otherwise defined herein, the terms defined in the 2021 Equity Incentive Plan (the “Plan”) shall have the same defined meanings in this Stock Option Agreement (the “Option Agreement”). I.NOTICE OF STOCK OPTION GRANT Name: The undersigned Participant has been granted an Option to purchase Common Stock of the Company, s |
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| February 29, 2024 |
Exhibit 24 Powers of Attorney Each of the undersigned, in the capacity or capacities set forth below his or her signature as a member of the Board of Directors and/or an officer of Stem, Inc. |
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| February 29, 2024 |
Subsidiaries of the Registrant. Exhibit 21 STEM, INC. SUBSIDIARIES OF REGISTRANT The Registrant, Stem, Inc., a Delaware corporation, has no parent The following are subsidiaries of the Registrant (as of December 31, 2023) Subsidiary Name Country or state of incorporation AlsoEnergy Holdings, Inc. Delaware Stem US Holdings, Inc. Delaware |
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| February 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): February 28, 2024 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| February 28, 2024 |
Exhibit 99 Stem Announces Fourth Quarter and Full Year 2023 Results Achieved Key Milestone with Positive Adjusted EBITDA in Q4 and 2H23 Expect to Generate at Least $50 million of Operating Cash Flow in 2024 Awarded PowerBidderTM Pro Contract by Mercuria Energy Trading Outlook •Expect to achieve positive adjusted EBITDA of between $5 million and $20 million in 20241 •Project at least $50 million in operating cash flow generation for the full year 2024 with no equity issuance Fourth Quarter and Full Year 2023 Financial and Operating Highlights Financial Highlights – Fourth Quarter 2023 •Revenue of $167. |
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| February 13, 2024 |
STEM / Stem, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv01994-steminc.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 2)* Name of issuer: Stem Inc Title of Class of Securities: Common Stock CUSIP Number: 85859N102 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to designate the rule pursuant |
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| February 13, 2024 |
STEM / Stem, Inc. / SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC/ DE - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Stem Inc (Name of Issuer) Common Stock (Title of Class of Securities) 85859N102 (CUSIP Number) December 29, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fil |
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| January 26, 2024 |
STEM / Stem, Inc. / BlackRock Inc. Passive Investment SC 13G/A 1 us85859n1028012624.txt us85859n1028012624.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 1) STEM, INC. - (Name of Issuer) Common Stock - (Title of Class of Securities) 85859N102 - (CUSIP Number) December 31, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to desi |
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| November 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): October 26, 2023 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| November 6, 2023 |
STEM ANNOUNCES APPOINTMENT OF NEW INDEPENDENT DIRECTOR EXHIBIT 99 STEM ANNOUNCES APPOINTMENT OF NEW INDEPENDENT DIRECTOR SAN FRANCISCO – October 31, 2023 – Stem, Inc. |
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| November 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————————————— FORM 10-Q ————————————————— ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to STEM, INC. (Ex |
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| November 2, 2023 |
Exhibit 99 Stem Announces Third Quarter 2023 Results Record Third Quarter Bookings of $676 million 10+ GWh Software and Services Agreement with SB Energy Expect Full-Year Adjusted EBITDA Positive in 2024 Outlook •The Company expects to achieve adjusted EBITDA positive in 2H 2023, which reflects an adjustment to exclude the impact of a $37. |
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| November 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): November 2, 2023 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| September 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): September 6, 2023 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| August 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————————————— FORM 10-Q ————————————————— ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to STEM, INC. (Exact n |
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| August 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): August 3, 2023 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR |
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| August 3, 2023 |
Exhibit 99 Stem Announces Second Quarter 2023 Results Strong Second Quarter Revenue of $93 million, Above Midpoint of Guidance Range Ameresco (313 MWh) and Hungary (304 MW) Projects Highlight FTM Momentum Technology Leadership Further Recognized by Third-Party Awards Reaffirm Full-Year 2023 Financial and Operating Guidance Second Quarter 2023 Financial and Operating Highlights Financial Highlights •Revenue of $93. |
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| June 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): June 16, 2023 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS |
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| June 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 7, 2023 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| May 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT Stem, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39455 (State or other jurisdiction of incorporation or organization) (Commission File Number) 100 California St., 14th Floor, San Francisco, California, 94111 (Address of principal executive offices) (zip code) |
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| May 31, 2023 |
Exhibit 1.01 – Conflict Minerals Report. Exhibit 1.01 STEM, INC. CONFLICT MINERALS REPORT FOR THE FISCAL YEAR ENDED DECEMBER 31, 2022 This Conflict Minerals Report (the “Report”) of Stem, Inc. (the “Company,” “Stem,” “we” or “our”) has been prepared pursuant to Rule 13p-1 and Form SD (the “Rule”) promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2022 to December 31, 2022. The Rule |
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| May 5, 2023 |
Form of Global Option Award Agreement EXHIBIT 10.2 STEM, INC. 2021 EQUITY INCENTIVE PLAN STOCK OPTION AGREEMENT Unless otherwise defined herein, the terms defined in the 2021 Equity Incentive Plan (the “Plan”) shall have the same defined meanings in this Stock Option Agreement (the “Option Agreement”). I.NOTICE OF STOCK OPTION GRANT Name: Address: The undersigned Participant has been granted an Option to purchase Common Stock of the C |
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| May 5, 2023 |
Form of Global Restricted Stock Unit Award Agreement EXHIBIT 10.1 STEM, INC. GLOBAL RESTRICTED STOCK UNIT AWARD AGREEMENT RECITALS A. The Board has adopted the Stem, Inc. 2021 Equity Incentive Plan (as amended from time to time, the “Plan”) to provide incentives to attract, retain and motivate eligible Employees, Directors and Consultants. B. This Agreement is executed pursuant to, and is intended to carry out the purposes of, the Plan in connection |
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| May 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————————————— FORM 10-Q ————————————————— ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to STEM, INC. (Exact name of reg |
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| May 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): May 4, 2023 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS E |
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| May 4, 2023 |
Exhibit 99 Stem Announces First Quarter 2023 Results Record First Quarter Revenue of $67 million, Above High End of Guidance Range Accelerating Growth in Software Services Reaffirm Full-Year 2023 Financial and Operating Guidance Recognized as Largest Energy Storage Virtual Power Plant Operator in North America by Wood Mackenzie First Quarter 2023 Financial and Operating Highlights Financial Highli |
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| April 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————————————— FORM 10-K ————————————————— ☒ QUARTERLY ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ QUARTERLY TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to STE |
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| April 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| April 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| April 3, 2023 |
Execution Version STEM, INC. and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION as Trustee INDENTURE Dated as of April 3, 2023 4.25% Convertible Senior Notes due 2030 20090164 |US-DOCS\140348310.5|| | 12:50| TABLE OF CONTENTS Page Article 1. Definitions; Rules of Construction 1 Section 1.01. Definitions. 1 Section 1.02. Other Definitions. 12 Section 1.03. Rules of Construction. 13 Article 2. The No |
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| April 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| April 3, 2023 |
STEM, INC. ANNOUNCES PRICING OF UPSIZED OFFERING OF $200 MILLION 4.25% GREEN CONVERTIBLE SENIOR NOTES DUE 2030 SAN FRANCISCO–March 30, 2023–Stem, Inc. ("Stem") (NYSE: STEM) announced today the pricing of $200 million aggregate principal amount of 4.25% Green Convertible Senior Notes due 2030 (the "Notes") in a private offering (the "Offering"), which was upsized from the previously announced $175 |
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| April 3, 2023 |
Form of Confirmation for 2030 Capped Call Transactions [], 2023 From: [Dealer] [] [] Attention: [] Telephone No.: [] Email: [] To: Stem, Inc. 100 California Street, 14th Floor San Francisco, CA 94111 Attention: Bill Bush (Chief Financial Officer) Re: [Base]1[Additional]2 Call Option Transaction3 The purpose of this communication (this “Confirmation”) is to set forth the terms and conditions of the call option transaction entered into on the Trade Date |
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| April 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): March 30, 2023 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR |
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| March 29, 2023 |
STEM, INC. ANNOUNCES PROPOSED $175 MILLION GREEN CONVERTIBLE SENIOR NOTES OFFERING STEM, INC. ANNOUNCES PROPOSED $175 MILLION GREEN CONVERTIBLE SENIOR NOTES OFFERING SAN FRANCISCO–(BUSINESS WIRE)–March 29, 2023–Stem, Inc. ("Stem") (NYSE: STEM) announced today its intention to offer, subject to market conditions and other factors, $175 million aggregate principal amount of green Convertible Senior Notes due 2030 (the "Notes") in a private offering (the "Offering") to persons reas |
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| March 29, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): March 29, 2023 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR |
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| March 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): March 17, 2023 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 333-251397 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| March 13, 2023 |
Stem Announces Minimal Exposure to Silicon Valley Bank SAN FRANCISCO – March 10, 2023 – Stem, Inc. |
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| March 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): March 10, 2023 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 333-251397 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| March 7, 2023 |
IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE IN RE STEM, INC. ) ) C.A. No. 2023- VERIFIED PETITION FOR RELIEF PURSUANT TO 8 DEL. C. § 205 Petitioner Stem, Inc. (“Stem” or the “Company”), by and through its undersigned counsel, brings this petition pursuant to 8 Del. C. § 205 (the “Petition”), seeking to have this Court validate a corporate act described below as follows: NATURE OF THE ACTION |
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| March 7, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): March 3, 2023 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 333-251397 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR |
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| February 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————————————— FORM 10-K ————————————————— ☒ QUARTERLY ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ QUARTERLY TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to STE |
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| February 17, 2023 |
Exhibit 24 Powers of Attorney Each of the undersigned, in the capacity or capacities set forth below his or her signature as a member of the Board of Directors and/or an officer of Stem, Inc. |
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| February 17, 2023 |
Subsidiaries of the Registrant. Exhibit 21 STEM, INC. SUBSIDIARIES OF REGISTRANT The Registrant, Stem, Inc., a Delaware corporation, has no parent The following are subsidiaries of the Registrant (as of December 31, 2022) Subsidiary Name Country or state of incorporation AlsoEnergy Holdings, Inc. Delaware Stem US Holdings, Inc. Delaware |
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| February 16, 2023 |
Exhibit 99 Stem Announces Fourth Quarter and Full Year 2022 Results Record full year 2022 revenue of $363 million, nearly triple full year 2021 revenue Introducing full-year 2023 guidance and reaffirm plan to achieve positive adjusted EBITDA in 2H’2023 Extending EV charging offering with ChargePoint partnership Fourth Quarter and Full Year 2022 Financial and Operating Highlights Financial Highligh |
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| February 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): February 16, 2023 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 333-251397 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| February 9, 2023 |
STEM / Stem, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: Stem Inc. Title of Class of Securities: Common Stock CUSIP Number: 85859N102 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 13d- |
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| February 3, 2023 |
STEM / Stem, Inc. / BlackRock Inc. Passive Investment us85859n1028020323.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: ) STEM, INC. - (Name of Issuer) Common Stock - (Title of Class of Securities) 85859N102 - (CUSIP Number) December 31, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which th |
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| January 5, 2023 |
Stem to Participate in 2023 Goldman Sachs Global Energy and Clean Technology Conference Stem to Participate in 2023 Goldman Sachs Global Energy and Clean Technology Conference SAN FRANCISCO – January 3, 2023 – Stem (NYSE: STEM), a global leader in artificial intelligence (AI)-driven energy software and services, announced today that members of its management team will meet with investors and participate in a fireside chat at the 2023 Global Energy and Clean Technology Conference on Thursday, January 5, 2023, in Miami, Florida. |
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| January 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): January 3, 2023 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| November 4, 2022 |
EXHIBIT 10.2 Execution Version FIRST AMENDED AND RESTATED MASTER SUPPLY AGREEMENT FOR PURCHASE AND SALE OF ENERGY STORAGE EQUIPMENT By and Between Powin, LLC (?Supplier?) And Stem, Inc. (?Customer?) i RESTATEMENT OF MASTER SUPPLY AGREEMENT This amendment and restatement of that certain Master Supply Agreement executed between the Powin Energy Corporation (predecessor to Powin, LLC) and Stem, Inc. |
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| November 4, 2022 |
Form of Global Restricted Stock Unit Award Agreement EXHIBIT 10.1 STEM, INC. GLOBAL RESTRICTED STOCK UNIT AWARD AGREEMENT Note: If you do not want to accept this Restricted Stock Unit Award Agreement, you must notify the Stock Department in writing no later than 15 days after receipt of the applicable Award Notice. RECITALS A. The Board of Directors of the Company (the ?Board?) has adopted the Stem, Inc. 2021 Equity Incentive Plan (as amended from t |
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| November 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————————————— FORM 10-Q ————————————————— ☒ QUARTERLY QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ☐ QUARTERLY TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fr |
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| November 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): November 3, 2022 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 333-251397 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| November 3, 2022 |
Exhibit 99 Stem Announces Third Quarter 2022 Results Record quarterly revenue of $100 million, above high end of guidance Reaffirm FY 2022 financial and operating guidance Athena? ranked #1 for innovation in optimization and trading platforms by Frost & Sullivan Third Quarter 2022 Financial and Operating Highlights Financial Highlights ?Record Revenue of $100 million, up from $40 million (+150%) i |
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| October 31, 2022 |
Amended and Restated Bylaws, dated October 27, 2022 [AS AMENDED AND RESTATED ON OCTOBER 27, 2022] AMENDED AND RESTATED BYLAWS OF STEM, INC. |
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| October 31, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): October 27, 2022 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 333-251397 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| September 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): September 28, 2022 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| September 22, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): September 22, 2022 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| September 22, 2022 |
Stem to Host Investor and Analyst Day on September 28, 2022 Exhibit 99 Stem to Host Investor and Analyst Day on September 28, 2022 SAN FRANCISCO ? September 22, 2022 ? Stem (the "Company") (NYSE: STEM), a global leader in AI-driven clean energy solutions and services, announced today that it will host its Investor and Analyst Day on Wednesday, September 28, 2022, beginning at approximately 9:00 a. |
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| September 21, 2022 |
Stem Appoints New Chief Operating Officer Stem Appoints New Chief Operating Officer SAN FRANCISCO ? September 21, 2022 ? Stem (NYSE: STEM), a global leader in AI-driven clean energy solutions and services, today announced the appointment of Michael Carlson as its Chief Operating Officer. |
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| September 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): September 21, 2022 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| September 15, 2022 |
Common Stock Preferred Stock Debt Securities Filed Pursuant to Rule 424(b)(3) Registration No. 333- 267275 PROSPECTUS $600,000,000 Common Stock Preferred Stock Debt Securities Warrants Rights Units We may offer and sell from time to time, in one or more offerings, in amounts, at prices and on terms determined at the time of any such offering, (1) shares of our common stock, par value $0.0001 per share (?Common Stock?), (2) shares of our pref |
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| September 12, 2022 |
September 12, 2022 VIA EDGAR Division of Corporate Finance U.S. Securities and Exchange Commission 100 F. Street, NE Washington, D.C. 20549 Re: Stem, Inc. Registration Statement on Form S-3 (File No. 333-267275) Filed September 2, 2022 Ladies and Gentlemen: Stem, Inc., a Delaware corporation (the “Company”), respectfully requests pursuant to Rule 461 under the Securities Act of 1933, as amended, t |
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| September 9, 2022 |
United States securities and exchange commission logo September 9, 2022 Saul Laureles Chief Legal Officer Stem, Inc. |
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| September 2, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) STEM, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation Rule Amount Registered (2) Proposed Maximum Offering Price Per Unit (2) Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity (1) Common sto |
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| September 2, 2022 |
As filed with the Securities and Exchange Commission on September 2, 2022 As filed with the Securities and Exchange Commission on September 2, 2022 Registration No. |
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| September 2, 2022 |
Form of Indenture with respect to Debt Securities. Exhibit 4.6 STEM, INC. and [ ], as Trustee INDENTURE Dated as of [ ] Debt Securities CROSS REFERENCE SHEET* Between Provisions of Trust Indenture Act (as defined herein) and Indenture, dated as of [ ], between STEM, INC. and [ ], as Trustee: SECTION OF THE ACT SECTION OF INDENTURE 310(a)(1) and (2) 6.9 310(a)(3) and (4) Inapplicable 310(b) 6.8 and 6.10(a), (b) and (d) 310(c) Inapplicable 311(a) 6. |
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| August 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker. OMB APPROVAL OMB Number: 3235-0101 Expires: June 30, |
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| August 5, 2022 |
EXECUTION VERSION Information in this document (indicated by brackets) has been redacted pursuant to Item 601(b)(10)(iv) of Regulation S-K because such information is not material and is private or confidential. |
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| August 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————————————— FORM 10-Q ————————————————— ☒ QUARTERLY QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ☐ QUARTERLY TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to |
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| August 5, 2022 |
Exhibit 10.1 Information in this document (indicated by brackets) has been redacted pursuant to Item 601(b)(10)(iv) of Regulation S-K because such information is not material and is private or confidential. FRAMEWORK BESS SALE & PURCHASE AGREEMENT (US) This Framework BESS Sale & Purchase Agreement (this ?Agreement?) is entered into as of August 17, 2021 (the ?Effective Date?) between Tesla and Buy |
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| August 5, 2022 |
Exhibit 10.2 Information in this document (indicated by brackets) has been redacted pursuant to Item 601(b)(10)(iv) of Regulation S-K because such information is not material and is private or confidential. MASTER SUPPLY AGREEMENT FOR PURCHASE AND SALE OF ENERGY STORAGE EQUIPMENT By and Between Powin Energy Corporation (?Supplier?) And Stem, Inc. (?Customer?) i MASTER SUPPLY AGREEMENT This Master |
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| August 4, 2022 |
Exhibit 99 Stem Announces Second Quarter 2022 Financial Results Quarterly revenue 5% above high end of guidance Raise FY 2022 Bookings and CARR guidance AlsoEnergy integration and synergies on track Second Quarter 2022 Financial and Operating Highlights Financial Highlights ?Revenue of $67 million, up from $19 million (+246%) in Q2 2021 ?GAAP Gross Margin of 12%, up from (1)% in Q2 2021 ?Non-GAAP Gross Margin of 17%, up from 8% in Q2 2021 ?Net Loss of $32 million versus $100 million in Q2 2021 ?Adjusted EBITDA of $(11) million versus $(8) million in Q2 2021 ?Ended Q2 2022 with $335 million in cash, cash equivalents, and short-term investments Operating Highlights ?12-month Pipeline of $5. |
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| August 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): August 4, 2022 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 333-251397 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| July 8, 2022 |
8,621,006 Shares of Common Stock Offered by the Selling Securityholders 424B3 1 stem424b3-aspensellingstoc.htm 424B3 Filed Pursuant to Rule 424(b)(3) Registration No. 333-265612 PROSPECTUS 8,621,006 Shares of Common Stock Offered by the Selling Securityholders This prospectus relates to the offer and sale from time to time by the selling securityholders named in this prospectus (the “Selling Securityholders”) of 8,621,006 shares of common stock, par value $0.0001 per |
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| July 5, 2022 |
CORRESP 1 filename1.htm July 5, 2022 VIA EDGAR Division of Corporate Finance U.S. Securities and Exchange Commission 100 F. Street, NE Washington, D.C. 20549 Re: Stem, Inc. Registration Statement on Form S-3 (File No. 333-265612) Filed June 15, 2022 Ladies and Gentlemen: Stem, Inc., a Delaware corporation (the “Company”), respectfully requests pursuant to Rule 461 under the Securities Act of 1933, |
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| June 23, 2022 |
United States securities and exchange commission logo June 23, 2022 Saul Laureles Chief Legal Officer Stem, Inc. |
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| June 16, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): June 15, 2022 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS |
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| June 15, 2022 |
As filed with the Securities and Exchange Commission on June 15, 2022 S-3 1 d324492ds3.htm S-3 Table of Contents As filed with the Securities and Exchange Commission on June 15, 2022 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 STEM, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 85-1972187 (State or Other Jurisdiction of Incorporat |
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| June 15, 2022 |
EX-FILING FEES 5 d324492dexfilingfees.htm EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables(1) Form S-3 (Form Type) STEM, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Off |
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| June 10, 2022 |
1,115,683 Shares of Common Stock Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-257994 PROSPECTUS 1,115,683 Shares of Common Stock This prospectus relates to the offer and sale from time to time by the selling securityholders named in this prospectus (the ?Selling Securityholders?) of 1,115,683 shares of common stock, par value $0.0001 per share, of the Company (?Common Stock?) originally issued in a priv |
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| June 10, 2022 |
50,574,232 Shares of Common Stock Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-256501 PROSPECTUS 50,574,232 Shares of Common Stock This prospectus relates to the offer and sale from time to time by the selling securityholders named in this prospectus (the ?Selling Securityholders?) of 50,574,232 shares of common stock, par value $0.0001 per share, of the Company (?Common Stock?). We will not receive any |
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| June 2, 2022 |
Exhibit 107 Calculation of Filing Fee Tables(1) Form S-3 (Form Type) STEM, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry For |
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| June 2, 2022 |
As filed with the Securities and Exchange Commission on June 2, 2022 Table of Contents As filed with the Securities and Exchange Commission on June 2, 2022 Registration No. |
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| June 2, 2022 |
As filed with the Securities and Exchange Commission on June 2, 2022 Table of Contents As filed with the Securities and Exchange Commission on June 2, 2022 Registration No. |
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| June 2, 2022 |
EX-FILING FEES 4 d339388dexfilingfees.htm EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables(1) Form S-3 (Form Type) STEM, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Off |
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| May 19, 2022 |
Stem, Inc. Up to 1,115,683 Shares of Common Stock Prospectus Supplement No. 1 Filed Pursuant to Rule 424(b)(3) (to prospectus dated May 3, 2022) Registration No. 333-257994 Stem, Inc. Up to 1,115,683 Shares of Common Stock This prospectus supplement no. 1 is being filed to update and supplement information contained in the prospectus dated May 3, 2022 (the ?Prospectus?) related to the offer and sale from time to time by the selling securityholder |
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| May 19, 2022 |
Stem, Inc. Up to 50,574,232 Shares of Common Stock Prospectus Supplement No. 1 Filed Pursuant to Rule 424(b)(3) (to prospectus dated May 3, 2022) Registration No. 333-256501 Stem, Inc. Up to 50,574,232 Shares of Common Stock This prospectus supplement no. 1 is being filed to update and supplement information contained in the prospectus dated May 3, 2022 (the ?Prospectus?) related to the offer and sale, from time to time, by the Selling Securityhol |
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| May 17, 2022 |
Up to 50,574,232 Shares of Common Stock Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-256501 PROSPECTUS Up to 50,574,232 Shares of Common Stock This prospectus relates to the offer and sale from time to time by the selling securityholders named in this prospectus (the ?Selling Securityholders?) of up to 50,574,232 shares of the common stock, par value $0.0001 per share, of the Company (?Common Stock?). We will |
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| May 17, 2022 |
Up to 1,115,683 Shares of Common Stock 424B3 1 d303491d424b3.htm 424B3 Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-257994 PROSPECTUS Up to 1,115,683 Shares of Common Stock This prospectus relates to the offer and sale from time to time by the selling securityholders named in this prospectus (the “Selling Securityholders”) of up to 1,115,683 shares of the common stock, par value $0.0001 per share, of the Comp |
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| May 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ————————————————— FORM 10-Q ————————————————— ☒ QUARTERLY QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ☐ QUARTERLY TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from t |
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| May 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): May 5, 2022 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 333-251397 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS |
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| May 5, 2022 |
Exhibit 99 Stem Announces First Quarter 2022 Financial Results Quarterly revenue 29% above high end of guidance range Reaffirm full-year 2022 guidance AlsoEnergy commercial synergies on track for 2022 bookings Expect minimal impact from AD/CVD inquiry in solar industry First Quarter 2022 Financial and Operating Highlights Financial Highlights •Revenue of $41. |
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| April 29, 2022 |
Exhibit 107 Calculation of Filing Fee Tables(1) Form S-1 (Form Type) STEM, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry For |
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| April 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| April 29, 2022 |
Exhibit 107 Calculation of Filing Fee Tables(1) Form S-1 (Form Type) STEM, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry For |
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| April 29, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| April 29, 2022 |
Table of Contents As filed with the Securities and Exchange Commission on April 2 8 , 2022 Registration No. |
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| April 29, 2022 |
Table of Contents As filed with the Securities and Exchange Commission on April 28, 2022 Registration No. |
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| April 15, 2022 |
UNAUDITED PRO FORMA COMBINED FINANCIAL INFORMATION Exhibit 99.2 UNAUDITED PRO FORMA COMBINED FINANCIAL INFORMATION On February 1, 2022, Stem, Inc. (?Stem? or the ?Company?) completed the acquisition of Also Energy Holdings, Inc. (?AlsoEnergy?), in accordance with the Stock Purchase Agreement previously disclosed in Form 8-K filed on February 2, 2022, for a preliminary purchase price of approximately $652.9 million. The following unaudited pro form |
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| April 15, 2022 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): February 1, 2022 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commi |
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| April 15, 2022 |
Also Energy Holdings, Inc. Exhibit 99.1 Also Energy Holdings, Inc. Consolidated Financial Statements and Independent Auditor?s Report As of and for the year ended December 31, 2021 1 Also Energy Holdings, Inc. Table of Contents Page Independent Auditor's Report 3 Consolidated Financial Statements as of and for the year ended December 31, 2021 Consolidated Balance Sheet 4 Consolidated Statement of |
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| April 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): March 28, 2022 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR |
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| March 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): March 15, 2022 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR |
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| March 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): March 1, 2022 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 001-39455 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS |
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| February 28, 2022 |
Exhibit 10.10 INDEMNIFICATION AGREEMENT THIS AGREEMENT (the ?Agreement?) is entered into as of [?], 2021, by and between Stem, Inc., a Delaware corporation (the ?Company?), and [?] (?Indemnitee?). WHEREAS, it is essential to the Company to retain and attract as directors and officers the most capable persons available; WHEREAS, Indemnitee is a director and/or officer of the Company; WHEREAS, both |
