Notice of Proposed Sale · 144
Stem, Inc.
STEMNYSEEQUITYCurrent
Notice of Proposed Sale
Structured filing — 144
primary_doc.xml
Notice of proposed sale. The proposed amounts below do not establish that a sale occurred.
Proposed-sale notice
- Issuer
- STEM, INC.
- Issuer CIK
- 0001758766
- SEC file number
- 001-39455
- Phone
- 877-374-7836
- Person for whose account securities are to be sold
- Carlson Michael James
- Relationships to issuer
- Officer
- Street
- 1400 POST OAK BOULEVARD, SUITE 560
- City
- HOUSTON
- State / country code
- TX
- Postal code
- 77056
Securities proposed for sale
| Security | Proposed units | Aggregate market value | Units outstanding | Approximate sale date | Exchange | Broker / market maker |
|---|---|---|---|---|---|---|
| Common | 146 | 671.03 | 9,626,744 | 09/29/2026 | NYSE | Fidelity Brokerage Services LLC |
Broker / market maker — proposed row 1, entry 1
- Name
- Fidelity Brokerage Services LLC
- Street
- 900 Salem Street
- City
- Smithfield
- State / country code
- RI
- Postal code
- 02917
Acquisition of securities to be sold
| Security | Acquired | Nature of acquisition | Acquired from | Amount acquired | Gift transaction | Payment date | Nature of payment |
|---|---|---|---|---|---|---|---|
| Common | 09/25/2026 | Restricted Stock Vesting | Issuer | 146 | N | 09/25/2026 | Compensation |
Sales reported in the preceding three months
| Seller | Security | Sale date | Amount sold | Gross proceeds |
|---|---|---|---|---|
| Michael Carlson | Common | 07/02/2026 | 1,347 | 10,439.12 |
| Michael Carlson | Common | 07/29/2026 | 2,548 | 12,957.34 |
| Michael Carlson | Common | 08/10/2026 | 3,673 | 20,018.22 |
Seller — prior-sale row 1, entry 1
- Name
- Michael Carlson
- Street
- 1400 Post Oak Boulevard
- Street (continued)
- Suite 560
- City
- Houston
- State / country code
- TX
- Postal code
- 77056
Seller — prior-sale row 2, entry 1
- Name
- Michael Carlson
- Street
- 1400 Post Oak Boulevard
- Street (continued)
- Suite 560
- City
- Houston
- State / country code
- TX
- Postal code
- 77056
Seller — prior-sale row 3, entry 1
- Name
- Michael Carlson
- Street
- 1400 Post Oak Boulevard
- Street (continued)
- Suite 560
- City
- Houston
- State / country code
- TX
- Postal code
- 77056
Prior-sale reporting
- Nothing to report for the preceding three months
- N
Remarks
Sale includes an amount necessary to cover a tax obligation resulting from the settlement of a vested equity award distribution.
Notice signature
- Notice date
- 09/29/2026
- Signed
- /s/ Joshua Schmitt, as a duly authorized representative of Fidelity Brokerage Services LLC, as attorney-in-fact for Michael Carlson.