FALSE000175876600017587662021-08-112021-08-110001758766us-gaap:CommonStockMember2021-08-112021-08-110001758766stem:CommonStockWarrantsMember2021-08-112021-08-11


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 11, 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) (IRS Employer
Identification No.)
100 California St., 14th Fl, San Francisco, California 94111
(Address of principal executive offices including zip code)
1-877-374-7836
Registrant’s telephone number, including area code
_______________________________________

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e- 4(c))

Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Trading
Symbol(s)
Name of each exchange on
which registered
Common stock, par value $0.0001 STEM New York Stock Exchange
Warrants exercisable for Common Stock STEM WS New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.




Item 2.02. Results of Operations and Financial Condition.

On August 11, 2021, Stem, Inc. (the “Company”) issued a press release announcing its financial results for the fiscal quarter ended June 30, 2021. The press release has also been posted on the Company’s internet website at www.stem.com. A copy of the press release is furnished herewith as Exhibit 99 and is incorporated herein by reference. 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 “Securities Act”), except as expressly set forth by specific reference in such a filing.


Item 7.01. Regulation FD Disclosure.

On August 11, 2021, the Company issued a press release, a copy of which is furnished with this Form 8-K as Exhibit 99 and incorporated into this Item 7.01 by reference. In accordance with General Instruction B.2. of Form 8-K, the information will not be deemed “filed” for purposes of Section 18 of the Exchange Act, nor will it be deemed incorporated by reference in any filing under the Securities Act, except as expressly set forth by specific reference in such a filing.

Also, see Item 2.02, “Results of Operations and Financial Condition.”


Item 9.01. Financial Statements and Exhibits.

(d) Exhibits
Exhibit No. Description
99
104 Cover Page Interactive Data File (embedded within the Inline XBRL document).

_____________________________________________________________________________________________


1


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 duly authorized.
STEM, INC.
Date: August 11, 2021 By: /s/ Saul R. Laureles
Name: Saul R. Laureles
Title: Chief Legal Officer and Secretary
_____________________________________________________________________________________________
2
Stem (NYSE:STEM)
Historical Stock Chart
From Nov 2021 to Dec 2021 Click Here for more Stem Charts.
Stem (NYSE:STEM)
Historical Stock Chart
From Dec 2020 to Dec 2021 Click Here for more Stem Charts.