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Material updates from SEC filings (8-K, 10-Q, 10-K) ranked by impact, with no firehose noise.
The filing pertains to the amendment and restatement of a compensatory plan.
Slides in connection with the press release are available on the Stem Investor Relations website at https://investors.stem.com/stock-and-financials/quarterly-results/default.aspx. In accordance with General Instructions B.2. of Form 8-K, the information will not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), nor will it be deemed incorporated by reference into any filing under the Securities Act of 1933, as amended (the “S…
Changes in Registrant’s Certifying Accountant. (a) On March 12, 2026, the Audit Committee of the Board of Directors (the “ Board ”) of Stem, Inc. (the “ Company ”) approved the dismissal of Deloitte & Touche LLP (“ Deloitte ”) as the Company’s independent registered public accounting firm. The Company accordingly notified Deloitte of such action on March 13, 2026. Deloitte’s report on the Company’s consolidated financial statements as of December 31, 2024 and December 31, 2025, did not contai…
Other Events. On March 6, 2026, the Stem, Inc. (the “Company”) entered into an Open Market Sales Agreement SM (the “Sales Agreement”) with Jefferies LLC (the “Agent”), as sales agent and/or principal, providing for an “at-the-market” equity offering program pursuant to which the Company may issue and sell from time to time shares of its common stock, par value $0.0001 per share, having an aggregate offering price of up to $30,000,000 (the “Shares”) to or through the Agent in ordinary brokers’…
Slides in connection with the press release are available on the Stem Investor Relations website at https://investors.stem.com/stock-and-financials/quarterly-results/default.aspx. In accordance with General Instructions B.2. of Form 8-K, the information will not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), nor will it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended (the “Sec…
Other Events. On December 17, 2025, the United States District Court for the Northern District of California entered an order dismissing with prejudice all claims in the putative securities class action pending against Stem, Inc. and certain of its former officers, directors and employees. The lawsuit made various claims under the federal securities laws and was captioned In re Stem, Inc. Sec. Litig. , Case No. 23-CV-02329-MMC. 3 SIGNATURES Pursuant to the requirements of the Securities Excha…
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. (b) On December 11, 2025, Stem, Inc. (the “Company”) and Mr. Rahul Shukla mutually agreed that Mr. Shukla will be stepping down as Chief Accounting Officer of the Company, effective December 19, 2025. The Company and Mr. Shukla are negotiating a separation agreement. Upon the execution of such agreement, the Company will file an amendment to this r…
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. (d) On December 1, 2025, the Board of Directors (the “Board”) of Stem, Inc. (the “Company”) on recommendation of the Nominating, Governance and Sustainability Committee of the Board, (i) increased the size of the Board from seven to eight directors and (ii) appointed Arun Narayanan, Chief Executive Officer of the Company, to the Board as a Class I…
Slides in connection with the press release are also available on the Stem Investor Relations website at https://investors.stem.com/stock-and-financials/quarterly-results/default.aspx. In accordance with General Instructions B.2. of Form 8-K, the information will not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), nor will it be deemed incorporated by reference into any filing under the Securities Act of 1933, as amended (t…
Slides in connection with the press release are also available on the Stem Investor Relations website at https://investors.stem.com/stock-and-financials/quarterly-results/default.aspx. In accordance with General Instructions B.2. of Form 8-K, the information will not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), nor will it be deemed incorporated by reference into any filing under the Securities Act of 1933, as amended (t…
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. On July 21, 2025, the Company and Mr. Hole entered into a Separation and Release of Claims Agreement (the “Separation Agreement”), pursuant to which Mr. Hole is entitled to receive the following payments and benefits in accordance with the terms of his employment agreement with the Company (the “Employment Agreement”): (a) a cash payment of $475,00…
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. (b) On July 2, 2025, Stem, Inc. (the “ Company ”) announced that Mr. Doran Hole will be stepping down as Chief Financial Officer and EVP of the Company, effective July 17, 2025. Mr. Hole will serve as an advisor to the Company from July 17, 2025 through July 31, 2025 (the “ Transition Period ”) in order to facilitate an orderly transition. The Comp…
Unregistered Sales of Equity Securities. The information set forth in
Entry into a Material Definitive Agreement. Exchange Agreement On June 27, 2025, Stem, Inc. (the “Company”) entered into a privately negotiated exchange agreement (the “Exchange Agreement”) with certain of the holders of the Company’s 0.50% Green Convertible Senior Notes due 2028 (the “2028 Convertible Notes”) and/or the Company’s 4.25% Green Convertible Senior Notes due 2030 (the “2030 Convertible Notes”), to exchange (the “Exchange”) (i) $228,818,000 principal amount of the 2028 Convertible…
Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant. The information set forth in
Material Modification to Rights of Security Holders. Following Stem, Inc.’s (the “Company”) 2025 Annual Meeting of Stockholders, the Company’s Board of Directors approved a reverse stock split (the “Reverse Stock Split”) of the Company’s common stock, par value $0.0001 per share (the “Common Stock”), at a ratio of 1-for-20 (the “Reverse Stock Split Ratio”) and a reduction in the total number of authorized shares of Common Stock from 500 million shares to 250 million shares (the “Authorized Sh…
Slides in connection with the press release are also available on the Stem Investor Relations website at https://investors.stem.com/stock-and-financials/quarterly-results/default.aspx. In accordance with General Instructions B.2. of Form 8-K, the information will not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), nor will it be deemed incorporated by reference into any filing under the Securities Act of 1933, as amended (t…
Costs Associated with Exit or Disposal Activities. On April 9, 2025, the Company announced a reduction in force plan (the “Plan”), as part of the Company’s broader efforts to prioritize investments in software, reduce operating costs, increase efficiency, drive profitable growth and increase stockholder value. The Plan will reduce the Company’s global full-time workforce by approximately 27%. The Company estimates the total cash expenditures associated with the Plan to be approximately $6.0 m…
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. On March 24, 2025, the Company and Mr. Carrington entered into a Separation and Release of Claims Agreement (the “Separation Agreement”), pursuant to which Mr. Carrington is entitled to receive the following payments and benefits in accordance with the terms of his employment agreement entered into with the Company (the “Employment Agreement”): (i)…
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. (d) Appointment of Directors On March 13, 2025, the Board of Directors (the “Board”) of Stem, Inc. (the “Company”), on recommendation of the Nominating, Governance and Sustainability Committee of the Board, appointed (i) Mr. Krishna Shivram to the Board as a Class I director and (ii) Mr. Vasudevan (Vasu) Guruswamy to the Board as a Class III direct…
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. (b) Effective March 6, 2025, Michael Carlson, formerly the Company’s Chief Operating Officer, has changed roles and assumed the position of President, Managed Services. 2 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto d…
Slides in connection with the press release are available on the Stem Investor Relations website at https://investors.stem.com/stock-and-financials/quarterly-results/default.aspx. In accordance with General Instructions B.2. of Form 8-K, the information will not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), nor will it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended (the “Sec…
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. On February 25, 2025, Gerard Cunningham notified the Board of Directors (the “Board”) and the Corporate Secretary of Stem, Inc. (the “Company”) of his resignation from the Board effective February 28, 2025 for personal reasons. Mr. Cunningham’s decision was not the result of any disagreement with the Company, management or the Board on any matter r…
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. On January 30, 2025, the Company and Mr. Bush entered into a Separation and Release of Claims Agreement (the “Separation Agreement”), pursuant to which Mr. Bush is entitled to receive the following payments and benefits in accordance with the existing terms of his employment agreement with the Company: (i) a cash payment of $318,750, being equal to…
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. On January 17, 2025, Jane Woodward notified the Board of Directors (the “Board”) and the Corporate Secretary of Stem, Inc. (the “Company”) of her resignation from the Board effective January 31, 2025 for personal reasons. Ms. Woodward’s decision was not the result of any disagreement with the Company, management or the Board on any matter relating…
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