Matthew Tappin - 07 Nov 2025 Form 4 Insider Report for STEM, INC. (STEM)

Role
President, Software Products
Signature
/s/ Sarah Dunn, attorney-in-fact
Issuer symbol
STEM
Transactions as of
07 Nov 2025
Net transactions value
-$98,950
Form type
4
Filing time
12 Nov 2025, 16:24:33 UTC
Previous filing
30 Jul 2025
Next filing
24 Nov 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Tappin Matthew President, Software Products 1400 POST OAK BOULEVARD, SUITE 560, HOUSTON /s/ Sarah Dunn, attorney-in-fact 12 Nov 2025 0001986259

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction STEM Common Stock, Par Value $0.0001 Per Share Options Exercise +15,000 +801% 16,872 07 Nov 2025 Direct F1
transaction STEM Common Stock, Par Value $0.0001 Per Share Tax liability $98,950 -5,416 -32% $18.27 11,456 10 Nov 2025 Direct F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction STEM Restricted Stock Unit Options Exercise $0 -15,000 -100% $0.000000 0 07 Nov 2025 Common Stock, Par Value $0.0001 Per Share 15,000 Direct F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each restricted stock unit ("RSU") converted into a share of common stock on a one-for-one basis.
F2 Represents shares of common stock automatically sold to cover the reporting person's tax liability in connection with the settlement of RSUs. This "sell to cover" transaction does not represent a discretionary trade by the reporting person.
F3 On November 1, 2024 the reporting person was granted 15,000 RSUs, vesting 100% on November 7, 2025.