Basic Stats
| 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)
This page provides a complete, chronological list of SEC Filings, excluding ownership filings which we provide elsewhere.
| 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. |
|
| 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 |
|
| 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 |
|
| 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. |
|
| 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 |
|
| 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 |
|
| 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. |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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. |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 ( |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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. |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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) ( |
|
| 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. |
|
| 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 |
|
| 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) ( |
|
| 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. |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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. |
|
| 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. |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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. |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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. |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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. |
|
| 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) ( |
|
| 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 |
|
| 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. |
|
| 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. |
|
| 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) |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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. |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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. |
|
| 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) ( |
|
| 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) |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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. |
|
| 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 |
|
| 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 |
|
| 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. |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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. |
|
| 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 |
|
| 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 |
|
| 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) |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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. |
|
| 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. |
|
| 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) |
|
| 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 |
|
| 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 |
|
| 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) ( |
|
| 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. |
|
| 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 |
|
| 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. |
|
| 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) ( |
|
| 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) |
|
| 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 |
|
| 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 |
|
| 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. |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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) |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| March 13, 2023 |
Stem Announces Minimal Exposure to Silicon Valley Bank SAN FRANCISCO – March 10, 2023 – Stem, Inc. |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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. |
|
| 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 |
|
| 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 |
|
| 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) |
|
| 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 |
|
| 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- |
|
| 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 |
|
| 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. |
|
| 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. |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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) |
|
| 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. |
|
| 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) |
|
| 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) |
|
| 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) |
|
| 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. |
|
| 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) |
|
| 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. |
|
| 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 |
|
| 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 |
|
| 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. |
|
| 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. |
|
| 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 |
|
| 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, |
|
| 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 |
|
| 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 |
|
| 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. |
|
| 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 |
|
| 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. |
|
| 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 |
|
| 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 |
|
| 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, |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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. |
|
| 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. |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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. |
|
| 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 |
|
| 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 |
|
| April 29, 2022 |
Table of Contents As filed with the Securities and Exchange Commission on April 2 8 , 2022 Registration No. |
|
| 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 |
|
| 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 |
|
| April 29, 2022 |
Table of Contents As filed with the Securities and Exchange Commission on April 28, 2022 Registration No. |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| February 28, 2022 |
Exhibit 10.4 STEM, INC. 2009 EQUITY INCENTIVE PLAN (as amended February 17, 2015 for Stock Split) 1.Purposes of the Plan. The purposes of this Plan are: a.to attract and retain the best available personnel for positions of substantial responsibility, a.to provide additional incentive to Employees, Directors and Consultants, and a.to promote the success of the Company?s business. The Plan permits t |
|
| February 28, 2022 |
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, 2021 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 |
|
| February 28, 2022 |
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. |
|
| February 28, 2022 |
Exhibit 10.5 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?). A.NOTICE OF STOCK OPTION GRANT Name: Address: The undersigned Participant has been granted an Option to purchase Common Stock of the C |
|
| February 28, 2022 |
Exhibit 10.3 Execution Version STOCK PURCHASE AGREEMENT among THE SELLERS named herein and ROBERT SCHAEFER AND CLAIRVEST GP MANAGECO INC., as Sellers? Representatives and STEM, INC. dated as of December 16, 2021 TABLE OF CONTENTS Article 1 Definitions. 1 Article 2 Purchase and sale.. 15 2.1 Purchase and Sale. 15 2.2 Purchase Price. 16 2.3 Estimated Purchase Price. 16 2.4 Closing. 17 2.5 Closing Ac |
|
| 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 |
|
| February 28, 2022 |
Exhibit 10.11 EXECUTIVE EMPLOYMENT AGREEMENT This Executive Employment Agreement (the ?Agreement?) is entered into as of [Date], by and between [Name] (?Executive?) and Star Peak Energy Transition Corp., a Delaware corporation (the ?Company?). WHEREAS, Executive has been serving as the [Title] of Stem, Inc. (?Stem?) pursuant to that certain employment offer letter agreement, dated [Date], by and b |
|
| February 28, 2022 |
Exhibit 4.3 DESCRIPTION OF SECURITIES The following summary of the material terms of securities Stem, Inc. (?Stem,? the ?Company? or ?our?) is not a complete summary of the rights and preferences of such securities, and is qualified by reference to our Amended and Restated Charter, our Amended and Restated Bylaws, each as amended to date and filed as exhibits to our Annual Reports on Form 10-K and |
|
| February 28, 2022 |
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, 2021) Subsidiary Name Country or state of incorporation Generate-Stem LCR, LLC Delaware Logan Energy Storage ULC Canada Rollins Road Acquisition Company Delaware Saturn Energy Storage 1 LLC Delaware Saturn Energy Sto |
|
| February 24, 2022 |
Exhibit 99 Stem Announces Fourth Quarter and Full Year 2021 Financial Results Company on track to execute on bookings in excess of $1 billion over 18 months Strong bookings and expansion of Athena? platform drive momentum into 2022 Initiate full-year 2022 revenue guidance of $350-$425 million Fourth Quarter and Full-Year 2021 Financial and Operating Highlights Financial Highlights ? Fourth Quarter 2021 ?Record revenues of $52. |
|
| February 24, 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): February 24, 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) |
|
| February 14, 2022 |
STEM / Stem, Inc. / Park West Asset Management LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* STEM, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.0001 PER SHARE (Title of Class of Securities) 85859N102 (CUSIP Number) DECEMBER 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
|
| February 14, 2022 |
STEM / Stem, Inc. / Star Peak Sponsor LLC - SC 13G/A Passive Investment SC 13G/A 1 tm226572d1sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* Stem, Inc. (formerly Star Peak Energy Transition Corp.) (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 85859N102 (CUSIP Number) December 31, 2021 (Date of Event Which Req |
|
| February 10, 2022 |
STEM / Stem, Inc. / ADAGE CAPITAL PARTNERS GP, L.L.C. - STEM INC. Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Stem, Inc. (formerly known as Star Peak Energy Transition Corp.) (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 85859N102 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of This Statement) Check the ap |
|
| February 10, 2022 |
STEM / Stem, Inc. / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 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 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ??Rule 13d-1(b) ??Rule 13d-1(c) |
|
| February 9, 2022 |
STEM / Stem, Inc. / Fifth Street Station LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
|
| February 3, 2022 |
Stem, Inc. Up to 4,683,349 Shares of Common Stock Prospectus Supplement No. 8 Filed Pursuant to Rule 424(b)(3) (to prospectus dated August 12, 2021) Registration No. 333-257994 Stem, Inc. Up to 4,683,349 Shares of Common Stock This prospectus supplement no. 8 is being filed to update and supplement information contained in the prospectus dated August 12, 2021 (the ?Prospectus?) related to the offer and sale from time to time by the selling securi |
|
| February 3, 2022 |
Stem, Inc. Up to 52,107,817 Shares of Common Stock Prospectus Supplement No. 9 Filed Pursuant to Rule 424(b)(3) (to prospectus dated June 15, 2021) Registration No. 333-256501 Stem, Inc. Up to 52,107,817 Shares of Common Stock This prospectus supplement no. 9 is being filed to update and supplement information contained in the prospectus dated June 15, 2021 (the ?Prospectus?) related to the offer and sale, from time to time, by the Selling Securit |
|
| February 2, 2022 |
EX-99 2 stem-8xk202221xcompletiono.htm EX-99 Exhibit 99 Stem Completes Acquisition of AlsoEnergy Solidifies Stem as global-leader in AI-driven software intelligence for clean energy assets Drives immediate accretion and accelerates Stem’s software growth SAN FRANCISCO– February 1, 2022 – Stem, Inc. (“Stem” or “the Company”) (NYSE: STEM), a global leader in artificial intelligence (AI)-driven energ |
|
| February 2, 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): 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) (Commission File Number) ( |
|
| January 24, 2022 |
Stem, Inc. Up to 52,107,817 Shares of Common Stock Prospectus Supplement No. 8 Filed Pursuant to Rule 424(b)(3) (to prospectus dated June 15, 2021) Registration No. 333-256501 Stem, Inc. Up to 52,107,817 Shares of Common Stock This prospectus supplement no. 8 is being filed to update and supplement information contained in the prospectus dated June 15, 2021 (the ?Prospectus?) related to the offer and sale, from time to time, by the Selling Securit |
|
| January 24, 2022 |
Stem, Inc. Up to 4,683,349 Shares of Common Stock Prospectus Supplement No. 7 Filed Pursuant to Rule 424(b)(3) (to prospectus dated August 12, 2021) Registration No. 333-257994 Stem, Inc. Up to 4,683,349 Shares of Common Stock This prospectus supplement no. 7 is being filed to update and supplement information contained in the prospectus dated August 12, 2021 (the ?Prospectus?) related to the offer and sale from time to time by the selling securi |
|
| January 18, 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): January 12, 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) ( |
|
| December 17, 2021 |
Stem, Inc. Up to 52,107,817 Shares of Common Stock Prospectus Supplement No. 7 Filed Pursuant to Rule 424(b)(3) (to prospectus dated June 15, 2021) Registration No. 333-256501 Stem, Inc. Up to 52,107,817 Shares of Common Stock This prospectus supplement no. 7 is being filed to update and supplement information contained in the prospectus dated June 15, 2021 (the ?Prospectus?) related to the offer and sale, from time to time, by the Selling Securit |
|
| December 17, 2021 |
Stem, Inc. Up to 4,683,349 Shares of Common Stock Prospectus Supplement No. 6 Filed Pursuant to Rule 424(b)(3) (to prospectus dated August 12, 2021) Registration No. 333-257994 Stem, Inc. Up to 4,683,349 Shares of Common Stock This prospectus supplement no. 6 is being filed to update and supplement information contained in the prospectus dated August 12, 2021 (the ?Prospectus?) related to the offer and sale from time to time by the selling securi |
|
| December 17, 2021 |
Stem, Inc. Up to 4,683,349 Shares of Common Stock 424B3 1 d249143d424b3.htm 424B3 Prospectus Supplement No. 6 Filed Pursuant to Rule 424(b)(3) (to prospectus dated August 12, 2021) Registration No. 333-257994 Stem, Inc. Up to 4,683,349 Shares of Common Stock This prospectus supplement no. 6 is being filed to update and supplement information contained in the prospectus dated August 12, 2021 (the “Prospectus”) related to the offer and sale from ti |
|
| December 16, 2021 |
Exhibit 99 Stem, Inc. to Acquire Also Energy Holdings, Inc., a Global Leader in Solar Asset Management Software Acquisition to combine two software-focused renewable energy companies leading the energy transition Accretive transaction expected to accelerate Stem?s growing, recurring software revenue and increase margins Underscores Stem?s focus on expanding global reach and delivering high-margin |
|
| December 16, 2021 |
Stem, Inc. Up to 52,107,817 Shares of Common Stock 424B3 1 d247509d424b3.htm 424B3 Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. Registration No. 333-256501 Prospectus Supplement No. 6 (to prospectus dated June 15, 2021) Stem, Inc. Up to 52,107,817 Shares of Common Stock This prospectus supplement no. 6 is being filed to update and supplement information contained in the prospectus dated June 15, 2021 (the “Prospectus”) relat |
|
| December 16, 2021 |
Stem, Inc. Up to 4,683,349 Shares of Common Stock Table of Contents Prospectus Supplement No. 5 Filed Pursuant to Rule 424(b)(3) (to prospectus dated August 12, 2021) Registration No. 333-257994 Stem, Inc. Up to 4,683,349 Shares of Common Stock This prospectus supplement no. 5 is being filed to update and supplement information contained in the prospectus dated August 12, 2021 (the ?Prospectus?) related to the offer and sale from time to time by |
|
| December 16, 2021 |
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 16, 2021 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) |
|
| December 3, 2021 |
Stem, Inc. Up to 4,683,349 Shares of Common Stock Prospectus Supplement No. 4 Filed Pursuant to Rule 424(b)(3) (to prospectus dated August, 2021) Registration No. 333-257994 Stem, Inc. Up to 4,683,349 Shares of Common Stock This prospectus supplement no. 4 is being filed to update and supplement information contained in the prospectus dated August 12, 2021 (the “Prospectus”) related to the offer and sale from time to time by the selling securityh |
|
| December 3, 2021 |
Stem, Inc. Up to 52,107,817 Shares of Common Stock Prospectus Supplement No. 5 Filed Pursuant to Rule 424(b)(3) (to prospectus dated June 15, 2021) Registration No. 333-256501 Stem, Inc. Up to 52,107,817 Shares of Common Stock This prospectus supplement no. 5 is being filed to update and supplement information contained in the prospectus dated June 15, 2021 (the “Prospectus”) related to the offer and sale, from time to time, by the Selling Securit |
|
| November 22, 2021 |
Form of Confirmation for Capped Call Transactions EX-10.1 3 d244452dex101.htm EX-10.1 Exhibit 10.1 Bid Version [], 2021 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 |
|
| November 22, 2021 |
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 22, 2021 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) |
|
| November 22, 2021 |
Purchase Agreement dated as of November 17, 2021, between the Company and the Initial Purchasers EX-10.2 4 d244452dex102.htm EX-10.2 Exhibit 10.2 Stem, Inc. $400,000,000 0.5% Convertible Notes Due 2028 Purchase Agreement November 17, 2021 Morgan Stanley & Co. LLC Goldman Sachs & Co. LLC Barclays Capital Inc. As Representatives of the several Initial Purchasers c/o Morgan Stanley & Co. LLC 1585 Broadway New York, New York 10036 c/o Goldman Sachs & Co. LLC 200 West Street New York, New York 102 |
|
| November 22, 2021 |
Exhibit 4.1 Execution Version STEM, INC. and U.S. BANK NATIONAL ASSOCIATION as Trustee INDENTURE Dated as of November 22, 2021 0.50% Convertible Senior Notes due 2028 TABLE OF CONTENTS Page Article 1. Definitions; Rules of Construction 1 Section 1.01. Definitions 1 Section 1.02. Other Definitions 13 Section 1.03. Rules of Construction 13 Article 2. The Notes 14 Section 2.01. Form, Dating and Denom |
|
| November 18, 2021 |
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): November 17, 2021 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) |
|
| November 18, 2021 |
Exhibit 99.1 STEM, INC. ANNOUNCES PRICING OF UPSIZED OFFERING OF $400 MILLION 0.50% GREEN CONVERTIBLE SENIOR NOTES DUE 2028 SAN FRANCISCO?(BUSINESS WIRE)?November 17, 2021?Stem, Inc. (?Stem?) (NYSE: STEM) announced today the pricing of $400 million aggregate principal amount of 0.50% Green Convertible Senior Notes due 2028 (the ?Notes?) in a private offering (the ?Offering?), which was upsized fro |
|
| November 17, 2021 |
Exhibit 99.1 INDEX TO FINANCIAL STATEMENTS Page No. Index to Audited Consolidated Financial Statements of Stem, Inc. as of and for the Years ended December 31, 2020 and December 31, 2019 Report of Independent Registered Public Accounting Firm F-2 Consolidated Balance Sheets F-3 Consolidated Statements of Operations F-4 Consolidated Statements of Comprehensive Loss F-5 Consolidated Statements of Co |
|
| November 17, 2021 |
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): November 17 , 2021 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 |
|
| November 16, 2021 |
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): November 16, 2021 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) |
|
| November 16, 2021 |
STEM, INC. ANNOUNCES PROPOSED $350 MILLION GREEN CONVERTIBLE SENIOR NOTES OFFERING Exhibit 99 STEM, INC. ANNOUNCES PROPOSED $350 MILLION GREEN CONVERTIBLE SENIOR NOTES OFFERING SAN FRANCISCO–(BUSINESS WIRE)–November 16, 2021–Stem, Inc. (“Stem”) (NYSE: STEM) announced today its intention to offer, subject to market conditions and other factors, $350 million aggregate principal amount of green Convertible Senior Notes due 2028 (the “Notes”) in a private offering (the “Offering”) t |
|
| November 15, 2021 |
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): September 9, 2021 STEM, INC. (Exact name of registrant as specified in its charter) Delaware 333-251397 85-1972187 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
|
| November 15, 2021 |
Financial Statements and Exhibits, Other Events 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): August 20, 2021 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) |
|
| November 10, 2021 |
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, 2021 OR ☐ QUARTERLY TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period fr |
|
| November 9, 2021 |
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 9, 2021 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) |
|
| November 9, 2021 |
Exhibit 99 Stem Announces Third Quarter 2021 Financial Results Company achieves record revenue, gross margin, backlog, pipeline and AUM Continued expansion of Athena? platform drives strong momentum into 2022 SAN FRANCISCO, Calif. |
|
| October 22, 2021 |
424B3 1 tm2130820d1424b3.htm 424B3 Prospectus Supplement No. 5 Filed Pursuant to Rule 424(b)(3) (to prospectus dated June 15, 2021) Registration No. 333-256501 Stem, Inc. Up to 52,107,817 Shares of Common Stock Up to 19,967,263 Shares of Common Stock Issuable upon Exercise of the Warrants Up to 7,181,134 Warrants This prospectus supplement no. 5 is being filed to update and supplement information |
|
| September 20, 2021 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on October 01, 2021, pursuant to the provisions of Rule 12d2-2 (a). |
|
| September 9, 2021 |
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, 2021 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) |
|
| August 27, 2021 |
Prospectus Supplement No. 4 Filed Pursuant to Rule 424(b)(3) (to prospectus dated June 15, 2021) Registration No. 333-256501 Stem, Inc. Up to 52,107,817 Shares of Common Stock Up to 19,967,263 Shares of Common Stock Issuable upon Exercise of the Warrants Up to 7,181,134 Warrants This prospectus supplement no. 4 is being filed to update and supplement information contained in the prospectus dated J |
|
| August 27, 2021 |
Press release announcing mailing of notice of redemption. EX-99 2 tm2122167d10ex99.htm EXHIBIT 99 Exhibit 99 Stem Issues Notice of Redemption for Public Warrants San Francisco, Calif. – August 20, 2021 – Stem, Inc. (“Stem” or “the Company”) today issued the following notice of redemption for all of Company’s outstanding public warrants. The Company expects that the public warrants will cease trading on Friday, September 17, the last trading day before th |
|
| August 27, 2021 |
Press release announcing mailing of notice of redemption. EX-99 2 tm2122167d11ex99.htm EXHIBIT 99 Exhibit 99 Stem Issues Notice of Redemption for Public Warrants San Francisco, Calif. – August 20, 2021 – Stem, Inc. (“Stem” or “the Company”) today issued the following notice of redemption for all of Company’s outstanding public warrants. The Company expects that the public warrants will cease trading on Friday, September 17, the last trading day before th |
|
| August 27, 2021 |
Stem, Inc. Up to 4,683,349 Shares of Common Stock Prospectus Supplement No. 3 Filed Pursuant to Rule 424(b)(3) (to prospectus dated August 12, 2021) Registration No. 333-257994 Stem, Inc. Up to 4,683,349 Shares of Common Stock This prospectus supplement no. 3 is being filed to update and supplement information contained in the prospectus dated August 12, 2021 (the ?Prospectus?) related to the offer and sale from time to time by the selling securi |
|
| August 20, 2021 |
Letter from WithumSmith+Brown, PC to the SEC. Exhibit 16 August 11, 2021 Office of the Chief Accountant Securities and Exchange Commission 100 F Street, NE Washington, D. |
|
| August 20, 2021 |
Letter from WithumSmith+Brown, PC to the SEC. Exhibit 16 August 11, 2021 Office of the Chief Accountant Securities and Exchange Commission 100 F Street, NE Washington, D. |
|
| August 20, 2021 |
Prospectus Supplement No. 3 Filed Pursuant to Rule 424(b)(3) (to prospectus dated June 15, 2021) Registration No. 333-256501 Stem, Inc. Up to 52,107,817 Shares of Common Stock Up to 19,967,263 Shares of Common Stock Issuable upon Exercise of the Warrants Up to 7,181,134 Warrants This prospectus supplement no. 3 is being filed to update and supplement information contained in the prospectus dated J |
