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AI brief of an SEC Form 8-K · STEM, INC. (STEM)

Stem Receives NYSE Notice of Noncompliance With $50 Million Market Cap Standard

Negative Impact 5 of 5 legal/regulatory Written later

Stem, Inc. received a non-compliance letter from the New York Stock Exchange on October 20, 2026, confirming it does not meet the NYSE requirement for average market capitalization and stockholders' equity of at least $50 million each. The company plans to submit a business plan to regain compliance within 18 months, and its common stock will continue trading on the NYSE during the cure period if the plan is accepted.

Key points

  • NYSE non-compliance letter received October 20, 2026; company notified NYSE October 19, 2026
  • Standard requires average market capitalization of at least $50 million over 30 trading days and stockholders' equity of at least $50 million
  • Business plan due within 45 days of receipt of the letter, with a target of regaining compliance within 18 months
  • Stock remains listed on the NYSE during the cure period, subject to NYSE acceptance of the plan and quarterly monitoring

The filing

CompanySTEM, INC. (STEM)
Form8-K, current report
Filed with the SECOct 23, 2026, 4:07 PM ET
Accession number0001758766-26-000088

Items reported: 3.01 Delisting / Listing Rule Notice

Read the filing on SEC.gov ↗

Written by AI on Nov 9, 2026, 11:43 AM ET, from this filing only. Written later: this filing was briefed after the fact, when past filings were added to the site, so the brief may be read with hindsight; the filing itself is the record of what was known on October 23, 2026.

Briefs are written by AI from the filing text and can contain mistakes — open the filing before acting on anything. Impact (1-5) and tone are the AI's reading of the filing for shareholders, not a price forecast. Not investment advice.