Mga Batayang Estadistika
| CIK | 1697834 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Stem Holdings, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| September 16, 2024 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL UNITED STATES OMB Number: 3235-0167 SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 2, 2024 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL UNITED STATES OMB Number: 3235-0167 SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2023 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-55751 STEM HOLDINGS, INC. (Exa |
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| February 1, 2024 |
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 of earliest event reported): February 1, 2024 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission File |
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| December 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number 000-55751 NOTIFICATION OF LATE FILING (Check One): ☒ Form 10-K ☐ Form 11-K ☐ Form 20-F ☐ Form 10-Q ☐ Form N-SAR For Period Ended: September 30, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 10-Q ☐ Transition Report on Form 20-F ☐ Transition Report on Form N-SAR ☐ Transition Report on Form 11-K For Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| December 1, 2023 |
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 of earliest event reported): November 30, 2023 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| August 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal quarter ended June 30, 2023 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT For the transition period from to STEM HOLDINGS, INC. (Exact name of small business issuer as specified in its ch |
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| August 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number 000-55751 NOTIFICATION OF LATE FILING (Check One): ☐ Form 10-K ☐ Form 11-K ☐ Form 20-F ☒ Form 10-Q ☐ Form N-SAR For Period Ended: June 30, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 10-Q ☐ Transition Report on Form 20-F ☐ Transition Report on Form N-SAR ☐ Transition Report on Form 11-K For Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| May 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal quarter ended March 31, 2023 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT For the transition period from to STEM HOLDINGS, INC. (Exact name of small business issuer as specified in its c |
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| May 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number 000-55751 NOTIFICATION OF LATE FILING (Check One): ☐ Form 10-K ☐ Form 11-K ☐ Form 20-F ☒ Form 10-Q ☐ Form N-SAR For Period Ended: March 31, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 10-Q ☐ Transition Report on Form 20-F ☐ Transition Report on Form N-SAR ☐ Transition Report on Form 11-K For Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| February 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal quarter ended December 31, 2022 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT For the transition period from to STEM HOLDINGS, INC. (Exact name of small business issuer as specified in it |
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| February 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number 000-55751 NOTIFICATION OF LATE FILING (Check One): ☐ Form 10-K ☐ Form 11-K ☐ Form 20-F ☒ Form 10-Q ☐ Form N-SAR For Period Ended: December 31, 2022 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 10-Q ☐ Transition Report on Form 20-F ☐ Transition Report on Form N-SAR ☐ Transition Report on Form 11-K For Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| January 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A Amendment No. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A Amendment No. 1 ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2022 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-55751 STEM H |
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| January 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K 10-K 1 form10-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2022 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-55751 STEM |
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| January 12, 2023 |
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 of earliest event reported): December 28, 2022 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| December 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number 000-55751 NOTIFICATION OF LATE FILING (Check One): ? Form 10-K ? Form 11-K ? Form 20-F ? Form 10-Q ? Form N-SAR For Period Ended: September 30, 2022 ? Transition Report on Form 10-K ? Transition Report on Form 10-Q ? Transition Report on Form 20-F ? Transition Report on Form N-SAR ? Transition Report on Form 11-K For Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| December 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2) ? Definitive Proxy Statem |
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| November 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2) ? Definitive Proxy Statem |
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| August 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal quarter ended June 30, 2022 ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT For the transition period from to STEM HOLDINGS, INC. (Exact name of small business issuer as specified in its ch |
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| May 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal quarter ended March 31, 2022 ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT For the transition period from to STEM HOLDINGS, INC. (Exact name of small business issuer as specified in its c |
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| April 4, 2022 |
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 of earliest event reported): March 28, 2022 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| March 9, 2022 |
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 of earliest event reported): March 4, 2022 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission File No |
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| February 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal quarter ended December 31, 2021 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT For the transition period from to STEM HOLDINGS, INC. (Exact name of small business issuer as specified in it |
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| February 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number 000-55751 NOTIFICATION OF LATE FILING (Check One): ? Form 10-K ? Form 11-K ? Form 20-F ? Form 10-Q ? Form N-SAR For Period Ended: December 31, 2021 ? Transition Report on Form 10-K ? Transition Report on Form 10-Q ? Transition Report on Form 20-F ? Transition Report on Form N-SAR ? Transition Report on Form 11-K For Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| February 11, 2022 |
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 of earliest event reported): February 8, 2022 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission File |
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| January 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2021 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-55751 STEM HOLDINGS, INC. (Exa |
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| December 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number 000-55751 NOTIFICATION OF LATE FILING (Check One): ? Form 10-K ? Form 11-K ? Form 20-F ? Form 10-Q ? Form N-SAR For Period Ended: September 30, 2021 ? Transition Report on Form 10-K ? Transition Report on Form 10-Q ? Transition Report on Form 20-F ? Transition Report on Form N-SAR ? Transition Report on Form 11-K For Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| December 17, 2021 |
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 of earliest event reported): December 15, 2021 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| November 26, 2021 |
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 of earliest event reported): November 24, 2021 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| November 24, 2021 |
Other Events, Financial Statements and Exhibits, Other Events, Financial Statements and Exhibits 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 of earliest event reported): November 18, 2021 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| September 20, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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 of earliest event reported): September 17, 2021 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| August 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal quarter ended June 30, 2021 ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT For the transition period from to STEM HOLDINGS, INC. (Exact name of small business issuer as specified in its ch |
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| June 29, 2021 |
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 of earliest event reported): June 25, 2021 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission File No |
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| May 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A/A First Amendment Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2) |
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| May 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal quarter ended March 31, 2021 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT For the transition period from to STEM HOLDINGS, INC. (Exact name of small business issuer as specified in i |
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| May 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2) [ ] Definitive Pr |
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| May 3, 2021 |
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 of earliest event reported): April 23, 2021 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| April 20, 2021 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-251897 This Prospectus is issued pursuant to the Company?s Post-Effective Amendment No. 1 to its Registration Statement on Form S-1 which was declared effective by the United States Securities and Exchange Commission on April 16, 2021. The Selling Shareholders may sell these securities under this Prospectus as of April 16, 2021. This Prospectus |
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| April 15, 2021 |
Consent of LJ Soldinger Associates, LLC, Independent Registered Public Accounting Firm Exhibit 23.2(a) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Post-Effective Amendment No. 1 to Form S-1 dated April 14, 2021 (File #333-251897) of our report, which includes an explanatory paragraph as to the Company’s ability to continue as a going concern, dated December 24, 2020, relating to the consolidated financial statements o |
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| April 15, 2021 |
Stem Holdings, Inc. 2201 NW Corporate Blvd. Suite 205 Boca Raton, FL 33431 April 14 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporate Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attn: Ada D. Sarmento and Joe McCann Re: Stem Holdings, Inc. Post-Effective Amendment No. 1 to Registration Statement on Form S-1 Filed April 14, 2021 File |
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| April 15, 2021 |
Consent of Rosenberg Rich Baker Berman, P.A, Independent Registered Public Accounting Firm Exhibit 23.2(b) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Directors of Stem Holdings, Inc. We consent to the incorporation by reference in Stem Holdings, Inc.’s Post-Effective Amendment No. 1 to Form S-1 dated April 14, 2021 as to our report dated May 22, 2020 with respect to the Balance Sheets of Driven Deliveries, Inc. as of December 31, 2019 and the related Statem |
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| April 15, 2021 |
As filed with the Securities and Exchange Commission on April 15, 2021 Registration No. |
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| April 8, 2021 |
Stem Holdings, Inc. 2201 NW Corporate Blvd., Suite 205 Boca Raton, FL 33431 April 8, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporate Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Office of Life Sciences Re: Stem Holdings, Inc. Registration on Form S-1/A (6th Amendment) File No. 333-251897 Filed on April 5, 2021 Ladies and Gentlemen: Pursuant to Rule |
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| April 5, 2021 |
Consent of Rosenberg Rich Baker Berman, P.A, Independent Registered Public Accounting Firm Exhibit 23.2(b) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Directors of Stem Holdings, Inc. We consent to the incorporation by reference in Stem Holdings, Inc.’s Sixth Amendment to Registration Statement on Form S-1 as to our report dated May 22, 2020 with respect to the Balance Sheets of Driven Deliveries, Inc. as of December 31, 2019 and the related Statements of Op |
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| April 5, 2021 |
Consent of LJ Soldinger Associates, LLC, Independent Registered Public Accounting Firm Exhibit 23.2(a) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Amendment #6 to Form S-1 (File #333-251897) of our report, which includes an explanatory paragraph as to the Company’s ability to continue as a going concern, dated December 24, 2020, relating to the consolidated financial statements of Stem Holdin |
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| April 5, 2021 |
Stem Holdings, Inc. 2201 NW Corporate Blvd. Suite 205 Boca Raton, FL 33431 April 5, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporate Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attn: Ada D. Sarmento Re: Stem Holdings, Inc. Fifth Amendment to Registration Statement on Form S-1 Filed March 10, 2021 File No. 333-251897 Ladies and Gent |
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| April 5, 2021 |
As filed with the Securities and Exchange Commission on April 5, 2021 Registration No. |
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| March 10, 2021 |
Consent of LJ Soldinger Associates, LLC, Independent Registered Public Accounting Firm Exhibit 23.2(a) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Amendment #5 to Form S-1 (File #333-251897) of our report, which includes an explanatory paragraph as to the Company’s ability to continue as a going concern, dated December 24, 2020, relating to the consolidated financial statements of Stem Holdin |
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| March 10, 2021 |
Stem Holdings, Inc. 2201 NW Corporate Blvd. Suite 205 Boca Raton, FL 33431 March 10, 2021 Stem Holdings, Inc. 2201 NW Corporate Blvd. Suite 205 Boca Raton, FL 33431 March 10, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporate Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attn: Ada D. Sarmento Re: Stem Holdings, Inc. Fourth Amendment to Registration Statement on Form S-1 Filed March 1, 2021 File No. 333-251897 Ladies and Gen |
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| March 10, 2021 |
Consent of Rosenberg Rich Baker Berman, P.A, Independent Registered Public Accounting Firm Exhibit 23.2(b) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Directors of Stem Holdings, Inc. We consent to the incorporation by reference in Stem Holdings, Inc.?s Fifth Amendment to Registration Statement on Form S-1 as to our report dated May 22, 2020 with respect to the Balance Sheets of Driven Deliveries, Inc. as of December 31, 2019 and the related Statements of Op |
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| March 10, 2021 |
As filed with the Securities and Exchange Commission on March 10, 2021 Registration No. |
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| March 1, 2021 |
Form of Warrant (previously filed on March 1, 2021) EXHIBIT 4.1 THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR (B) AN OPINION OF COUNSEL (WHICH COUNSEL SHALL BE SELECTED BY THE HOLDER), IN A GENERALLY ACCEPTABLE FORM, THAT REGISTRATION IS NOT REQUIRED UNDER SAID ACT OR (II) UNLESS SOLD PURSUANT |
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| March 1, 2021 |
Consent of LJ Soldinger Associates, LLC, Independent Registered Public Accounting Firm Exhibit 23.2(a) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Amendment #4 to Form S-1 (File #333-251897) of our report, which includes an explanatory paragraph as to the Company?s ability to continue as a going concern, dated December 24, 2020, relating to the consolidated financial statements of Stem Holdin |
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| March 1, 2021 |
Subscription Agreement (previously filed on March 1, 2021) EX-10.1 4 ex10-1.htm EXHIBIT 10.1 STEM HOLDINGS, INC. SUBSCRIPTION AGREEMENT This Subscription Agreement (this “Agreement”) is being delivered to the purchaser identified on the signature page to this Agreement (the “Subscriber”) in connection with its investment in Stem Holdings, Inc., a Nevada corporation (the “Company”). The Company is conducting a public offering (the “Offering”) of up to twen |
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| March 1, 2021 |
Stem Holdings, Inc. 2201 NW Corporate Blvd. Suite 205 Boca Raton, FL 33431 March 1, 2021 Stem Holdings, Inc. 2201 NW Corporate Blvd. Suite 205 Boca Raton, FL 33431 March 1, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporate Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attn: Ada D. Sarmento Re: Stem Holdings, Inc. Amendment No. 3 to Registration Statement on Form S-1 Filed February 12, 2021 File No. 333-251897 Ladies and G |
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| March 1, 2021 |
As filed with the Securities and Exchange Commission on March 1, 2021 Registration No. |
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| March 1, 2021 |
Consent of Rosenberg Rich Baker Berman, P.A, Independent Registered Public Accounting Firm Exhibit 23.2(b) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Directors of Stem Holdings, Inc. We consent to the incorporation by reference in Stem Holdings, Inc.’s Fourth Amendment to Registration Statement on Form S-1 as to our report dated May 22, 2020 with respect to the Balance Sheets of Driven Deliveries, Inc. as of December 31, 2019 and the related Statements of O |
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| February 22, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal quarter ended December 31, 2020 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT For the transition period from to STEM HOLDINGS, INC. (Exact name of small business issuer as specified i |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number 000-55751 NOTIFICATION OF LATE FILING (Check One): [ ] Form 10-K [ ] Form 11-K [ ] Form 20-F [X] Form 10-Q [ ] Form N-SAR For Period Ended: December 31, 2020 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 10-Q [ ] Transition Report on Form 20-F [ ] Transition Report on Form N-SAR [ ] Transition Report on Form 11-K For Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| February 12, 2021 |
Consent of LJ Soldinger Associates, LLC, Independent Registered Public Accounting Firm Exhibit 23.2(a) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Amendment #3 to Form S-1 (File #333-251897) of our report, which includes an explanatory paragraph as to the Company’s ability to continue as a going concern, dated December 24, 2020, relating to the consolidated financial statements of Stem Holdin |
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| February 12, 2021 |
Consent of Rosenberg Rich Baker Berman, P.A, Independent Registered Public Accounting Firm Exhibit 23.2(b) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Directors of Stem Holdings, Inc. We consent to the incorporation by reference in Stem Holdings, Inc.’s Third Amendment to Registration Statement on Form S-1 as to our report dated May 22, 2020 with respect to the Balance Sheets of Driven Deliveries, Inc. as of December 31, 2019 and the related Statements of Op |
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| February 12, 2021 |
As filed with the Securities and Exchange Commission on February 12, 2021 Registration No. |
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| February 12, 2021 |
EXHIBIT 4.1 THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR (B) AN OPINION OF COUNSEL (WHICH COUNSEL SHALL BE SELECTED BY THE HOLDER), IN A GENERALLY ACCEPTABLE FORM, THAT REGISTRATION IS NOT REQUIRED UNDER SAID ACT OR (II) UNLESS SOLD PURSUANT |
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| February 12, 2021 |
EXHIBIT 10.1 STEM HOLDINGS, INC. SUBSCRIPTION AGREEMENT This Subscription Agreement (this ?Agreement?) is being delivered to the purchaser identified on the signature page to this Agreement (the ?Subscriber?) in connection with its investment in Stem Holdings, Inc., a Nevada corporation (the ?Company?). The Company is conducting a public offering (the ?Offering?) of up to twenty million (20,000,00 |
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| February 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1/A Second Amendment REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 STEM HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission File No.) (I.R.S. Employer Identification No.) 2201 NW Corporate Blvd., Suite 205 |
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| February 5, 2021 |
Consent of LJ Soldinger Associates, LLC, Independent Registered Public Accounting Firm Exhibit 23.2(a) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Amendment #2 to Form S-1 (File #333-251897) of our report, which includes an explanatory paragraph as to the Company’s ability to continue as a going concern, dated December 24, 2020, relating to the consolidated financial statements of Stem Holdin |
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| February 5, 2021 |
EXHIBIT 10.1 STEM HOLDINGS, INC. SUBSCRIPTION AGREEMENT This Subscription Agreement (this “Agreement”) is being delivered to the purchaser identified on the signature page to this Agreement (the “Subscriber”) in connection with its investment in Stem Holdings, Inc., a Nevada corporation (the “Company”). The Company is conducting a public offering (the “Offering”) of up to twenty million (20,000,00 |
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| February 5, 2021 |
Consent of Rosenberg Rich Baker Berman, P.A, Independent Registered Public Accounting Firm Exhibit 23.2(b) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Directors of Stem Holdings, Inc. We consent to the incorporation by reference in Stem Holdings, Inc.’s Second Amendment to Registration Statement on Form S-1 as to our report dated May 22, 2020 with respect to the Balance Sheets of Driven Deliveries, Inc. as of December 31, 2019 and the related Statements of O |
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| February 5, 2021 |
EXHIBIT 4.1 THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR (B) AN OPINION OF COUNSEL (WHICH COUNSEL SHALL BE SELECTED BY THE HOLDER), IN A GENERALLY ACCEPTABLE FORM, THAT REGISTRATION IS NOT REQUIRED UNDER SAID ACT OR (II) UNLESS SOLD PURSUANT |
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| February 2, 2021 |
EXHIBIT 99.1 Stem Holdings Announces All Common Shares of ‘DRVD’ will Trade Under symbol ‘STMH’ on February 4, 2021. Consolidated Market Capitalization of US$112 Million Post-Acquisition BOCA RATON, FL, February 2, 2021 – Stem Holdings, Inc. DBA Driven by Stem (the “Company” or “Stem”) (OTCQX: STMH CSE: STEM), a leading omnichannel, vertically-integrated cannabis branded products and technology co |
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| February 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 8, 2020 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| February 1, 2021 |
Stem Holdings, Inc. 2201 NW Corporate Blvd., Suite 205 Boca Raton, FL 33431 January 29, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporate Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Office of Life Sciences Re: Stem Holdings, Inc. Registration on Form S-4/A File No. 333-251761 Filed on January 14, 2021 Ladies and Gentlemen: Pursuant to Rule 461 promul |
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| January 19, 2021 |
Consent of LJ Soldinger Associates, LLC, Independent Registered Public Accounting Firm Exhibit 23.2(a) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Amendment #1 to Form S-1 (File #333-251897) of our report, which includes an explanatory paragraph as to the Company’s ability to continue as a going concern, dated December 24, 2020, relating to the consolidated financial statements of Stem Holdin |
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| January 19, 2021 |
EXHIBIT 4.1 THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR (B) AN OPINION OF COUNSEL (WHICH COUNSEL SHALL BE SELECTED BY THE HOLDER), IN A GENERALLY ACCEPTABLE FORM, THAT REGISTRATION IS NOT REQUIRED UNDER SAID ACT OR (II) UNLESS SOLD PURSUANT |
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| January 19, 2021 |
As filed with the Securities and Exchange Commission on January 19, 2021 Registration No. |
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| January 19, 2021 |
Consent of Rosenberg Rich Baker Berman, P.A, Independent Registered Public Accounting Firm Exhibit 23.2(b) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Directors of Stem Holdings, Inc. We consent to the incorporation by reference in Stem Holdings, Inc.’s First Amendment to Registration Statement on Form S-1 as to our report dated May 22, 2020 with respect to the Balance Sheets of Driven Deliveries, Inc. as of December 31, 2019 and the related Statements of Op |
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| January 19, 2021 |
EXHIBIT 10.1 STEM HOLDINGS, INC. SUBSCRIPTION AGREEMENT This Subscription Agreement (this “Agreement”) is being delivered to the purchaser identified on the signature page to this Agreement (the “Subscriber”) in connection with its investment in Stem Holdings, Inc., a Nevada corporation (the “Company”). The Company is conducting a public offering (the “Offering”) of up to twenty million (20,000,00 |
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| January 14, 2021 |
As filed with the Securities and Exchange Commission on January 13, 2021 Registration No. |
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| January 14, 2021 |
Exhibit 23.1(b) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Directors of Stem Holdings, Inc. We consent to the incorporation by reference in Stem Holdings, Inc.’s First Amendment to Registration Statement on Form S-4 as to our report dated May 22, 2020 with respect to the Balance Sheets of Driven Deliveries, Inc. as of December 31, 2019 and the related Statements of Op |
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| January 14, 2021 |
Exhibit 23.1(a) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this First Amendment to Registration Statement on Form S-4 (File # 333-251761) of our report, which includes an explanatory paragraph as to the Company’s ability to continue as a going concern, dated December 24, 2020, relating to the consolidated financial statements of Stem Ho |
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| January 14, 2021 |
Stem Holdings, Inc. 2201 NW Corporate Blvd. Suite 205 Boca Raton, FL 33431 January 12, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporate Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attn: Ada D. Sarmento Re: Stem Holdings, Inc. Registration Statement on Form 4 Filed December 28, 2020 File No. 333-251761 Ladies and Gentlemen: On behal |
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| January 14, 2021 |
First Amendment to Agreement and Plan of Merger dated December 29, 2020 EXHIBIT 2.2 FIRST AMENDMENT TO AGREEMENT AND PLAN OF MERGER THIS FIRST AMENDMENT TO AGREEMENT AND PLAN OF MERGER by and between DRIVEN DELIVERIES, INC., a Delaware Corporation (“DRVD”), STEM HOLDINGS, INC., a Nevada corporation (“STEM”), and STEM DRIVEN ACQUISITION, INC. (“SDA”) (the “Amendment”) is dated as of December 28, 2020. Each of the DRVD, STEM and SDA are referred to herein as a “Party”, |
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| January 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 STEM HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission File No.) (I.R.S. Employer Identification No.) 2201 NW Corporate Blvd., Suite 205 Boca Raton, FL 3343 |
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| December 28, 2020 |
As filed with the Securities and Exchange Commission on December 28, 2020 Registration No. |
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| December 28, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2020 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-55751 STEM HOLDINGS, INC. |
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| December 28, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A First Amendment [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2020 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-55751 ST |
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| November 19, 2020 |
EXHIBIT 99.1 Consolidated Ventures of Oregon, Inc. Financial Statements and Independent Auditor’s Report December 31, 2019 and 2018 Consolidated Ventures of Oregon, Inc. December 31, 2019 and 2018 TABLE OF CONTENTS Page(s) Report of Independent Registered Public Accounting Firm 3 Consolidated Balance Sheets 4 Consolidated Statements of Operations 5 Consolidated Statement of Changes in Members’ Equ |
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| November 19, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 18, 2020 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission F |
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| November 2, 2020 |
Stem Holdings, Inc. 2201 NW Corporate Blvd., Suite 205 Boca Raton, FL 33431 November 2, 2020 VIA EDGAR United States Securities and Exchange Commission Division of Corporate Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Office of Real Estate and Construction Re: Stem Holdings, Inc. Registration on Form S-1 File No. 333-249587 Filed on October 21, 2020 Ladies and Gentlemen: Pursuant to Ru |
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| October 29, 2020 |
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 of earliest event reported): October 28, 2020 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission File |
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| October 23, 2020 |
ROBERT L. B. DIENER Attorney at Law 41 Ulua Place Haiku, HI 96708 (808) 573-6163 Fax: (310) 362-8887 [email protected] October 22, 2020 VIA EDGAR Securities and Exchange Commission 100 F. Street, NE Washington, DC 20549 Re: Stem Holdings, Inc. Request for Withdrawal Pursuant to Rule 477 of Post-Effective Amendments No. 1 and No. 2 to Form S-1 filed under form type POS AM (File No. 333-239226) Lad |
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| October 21, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 3 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 STEM HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Nevada 333-239226 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission File No.) (I.R.S. Employer Identification No.) 2201 NW Corporate B |
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| October 21, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 STEM HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission File No.) (I.R.S. Employer Identification No.) 2201 NW Corporate Blvd., Suite 205 Boca Raton, FL 3343 |
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| October 13, 2020 |
8-K 1 form8-k.htm 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 of earliest event reported): October 8, 2020 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) |
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| October 13, 2020 |
POS AM 1 posam.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 2 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 STEM HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Nevada 333-239226 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission File No.) (I.R.S. Employer Identification No.) |
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| October 5, 2020 |
As filed with the Securities and Exchange Commission on October 5, 2020 Registration No. |
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| September 24, 2020 |
8-K 1 form8-k.htm 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 of earliest event reported): September 4, 2020 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporatio |
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| August 17, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal quarter ended June 30, 2020 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT For the transition period from to STEM HOLDINGS, INC. (Exact name of small business issuer as specified in it |
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| August 17, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number 000-55751 NOTIFICATION OF LATE FILING (Check One): [ ] Form 10-K [ ] Form 11-K [ ] Form 20-F [X] Form 10-Q [ ] Form N-SAR For Period Ended: June 30, 2020 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 10-Q [ ] Transition Report on Form 20-F [ ] Transition Report on Form N-SAR [ ] Transition Report on Form 11-K For Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| July 21, 2020 |
Dated July 2, 2020 STEM HOLDINGS, INC. 22,681,008 Shares of Common Stock Par Value $0.001 Per Share Filed Pursuant to Rule 424(b)(3) Registration No. 333-239226 Dated July 2, 2020 STEM HOLDINGS, INC. 22,681,008 Shares of Common Stock Par Value $0.001 Per Share This is an offering of Common shares of Stem Holdings, Inc. (OTCQX: STMH; CSE: STEM). We are offering for sale up to 10,000,000 Common Shares at a fixed price of $ per share and Selling Shareholders are offering an additional 12,681,008 sh |
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| June 30, 2020 |
Stem Holdings, Inc. 2201 NW Corporate Blvd., Suite 205 Boca Raton, FL 33431 Jun 29, 2020 VIA EDGAR United States Securities and Exchange Commission Division of Corporate Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Office of Real Estate and Construction Re: Stem Holdings, Inc. Registration on Form S-1 File No. 333-239226 Filed on June 17, 2020 Ladies and Gentlemen: Pursuant to Rule 461 |
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| June 17, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 STEM HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission File No.) (I.R.S. Employer Identification No.) 2201 NW Corporate Blvd., Suite 205 Boca Raton, FL 3343 |
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| May 15, 2020 |
10-Q 1 form10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal quarter ended March 31, 2020 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT For the transition period from to STEM HOLDINGS, INC. (Exact name of small business issu |
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| March 19, 2020 |
STMH / Stem Holdings Inc 10-Q - Quarterly Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal quarter ended December 31, 2019 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT For the transition period from to STEM HOLDINGS, INC. (Exact name of small business issuer as specified i |
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| March 19, 2020 |
STMH / Stem Holdings Inc 10-K/A - Annual Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A Second Amendment [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2019 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-55751 S |
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| March 6, 2020 |
8-K 1 form8-k.htm 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 of earliest event reported): March 5, 2020 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction (Commission (I.R.S. |
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| March 5, 2020 |
STMH / Stem Holdings Inc 10-K/A - Annual Report - 10-K/A 1 form10-ka.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A First Amendment [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2019 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission fi |
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| March 2, 2020 |
STMH / Stem Holdings Inc 10-K - Annual Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2019 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-55751 STEM HOLDINGS, INC. |
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| February 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number 000-55751 NOTIFICATION OF LATE FILING (Check One): [ ] Form 10-K [ ] Form 11-K [ ] Form 20-F [X] Form 10-Q [ ] Form N-SAR For Period Ended: December 31, 2019 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 10-Q [ ] Transition Report on Form 20-F [ ] Transition Report on Form N-SAR [ ] Transition Report on Form 11-K For Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| February 7, 2020 |
Letter to Securities and Exchange Commission from Marcum, LLP dated February 6, 2020 |
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| February 7, 2020 |
8-K 1 form8-k.htm 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 of earliest event reported): February 6, 2020 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation |
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| January 29, 2020 |
Audited financial statements of Yerba Oregon, LLC for the years ended December 31, 2017 and 2018 EXHIBIT 99.1 |
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| January 29, 2020 |
EXHIBIT 99.2 |
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| January 29, 2020 |
Financial Statements and Exhibits 8-K/A 1 form8ka.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K/A (Amendment No. 1) Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 28, 2019 Stem Holdings, Inc. (Exact name of registrant as specified in its charter) Nevada 000-55751 61-1794883 (State or other jurisdicti |
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| January 29, 2020 |
EX-99.3 4 ex99-3.htm EXHIBIT 99.3 |
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| January 21, 2020 |
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 of earliest event reported): January 17, 2020 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission File |
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| December 30, 2019 |
STMH / Stem Holdings Inc NT 10-K - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number 000-55751 NOTIFICATION OF LATE FILING (Check One): [X] Form 10-K [ ] Form 11-K [ ] Form 20-F [ ] Form 10-Q [ ] Form N-SAR For Period Ended: September 30, 2019 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 10-Q [ ] Transition Report on Form 20-F [ ] Transition Report on Form N-SAR [ ] Transition Report on Form 11-K For Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| October 25, 2019 |
STMH / Stem Holdings Inc / Berk Adam Activist Investment SC 13D 1 sc13d.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) STEM HOLDINGS, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.001 (Title of Class of Securities) 85858U107 (CUSIP Number) Adam Berk 9370 Grand Estates |
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| October 7, 2019 |
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 of earliest event reported): October 3, 2019 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission File |
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| September 26, 2019 |
8-K 1 form8-k.htm 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 of earliest event reported): September 24, 2019 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporati |
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| September 26, 2019 |
EXHIBIT 16.1 September 26, 2019 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-7561 Dear Sirs/Madams: We have read Item 4.01 of Stem Holdings, Inc. Form 8-K dated September 24, 2019, and have the following comments: 1. We agree with the statements made in the first paragraph in the first sentence. 2. We agree with the statements made in the second through fifth paragr |
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| September 5, 2019 |
STMH / Stem Holdings Inc / Rai Rajiv Passive Investment SC 13G 1 formsc13g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Stem Holdings, Inc. (Name of Issuer) COMMON STOCK, PAR VALUE $0.001 (Title of Class of Securities) 85858U107 (CUSIP Number) March 29, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuan |
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| August 14, 2019 |
STMH / Stem Holdings Inc 10-Q - Quarterly Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal quarter ended June 30, 2019 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT For the transition period from to STEM HOLDINGS, INC. (Exact name of small business issuer as specified in it |
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| August 5, 2019 |
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 of earliest event reported): August 2, 2019 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| July 8, 2019 |
STMH / Stem Holdings Inc DEF 14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2) [X] Definitive Pr |
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| July 1, 2019 |
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 of earliest event reported): June 28, 2019 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission File No |
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| June 25, 2019 |
STMH / Stem Holdings Inc PRE 14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2) [ ] Definitive Pr |
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| May 20, 2019 |
STMH / Stem Holdings Inc 10-Q/A - Quarterly Report - U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q/A (First Amendment) QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: March 31, 2019 File No. 000-55751 STEM HOLDINGS, INC. (Name of small business issuer in our charter) Nevada 61-1794883 (State or other jurisdiction of (IRS Employer incorporation or organizatio |
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| May 16, 2019 |
STMH / Stem Holdings Inc 10-Q Quarterly Report 10-Q 1 form10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal quarter ended March 31, 2019 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT For the transition period from to STEM HOLDINGS, INC. (Exact name of small business issu |
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| May 15, 2019 |
STMH / Stem Holdings Inc NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number 000-55751 NOTIFICATION OF LATE FILING (Check One): [ ] Form 10-K [ ] Form 11-K [ ] Form 20-F [X] Form 10-Q [ ] Form N-SAR For Period Ended: March 31, 2019 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 10-Q [ ] Transition Report on Form 20-F [ ] Transition Report on Form N-SAR [ ] Transition Report on Form 11-K For Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| April 3, 2019 |
8-K 1 form8-k.htm 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 of earliest event reported): April 2, 2019 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) ( |
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| April 1, 2019 | ||
| April 1, 2019 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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 of earliest event reported): March 22, 2019 STEM HOLDINGS, INC. (Exact name of registrant as specified in its charter) Nevada 000-55751 61-1794883 (State or other jurisdiction (Commission (IRS Employer of incorpo |
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| March 19, 2019 | ||
| March 19, 2019 |
Convertible Debenture Indenture and Form of Convertible Debenture |
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| March 19, 2019 | ||
| March 19, 2019 | ||
| March 19, 2019 |
8-K 1 form8-k.htm 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 of earliest event reported): March 14, 2019 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction (Commission (IRS E |
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| March 19, 2019 | ||
| March 19, 2019 | ||
| March 5, 2019 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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 of earliest event reported): March 1, 2019 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission File No |
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| February 19, 2019 |
STMH / Stem Holdings Inc 10-Q (Quarterly Report) 10-Q 1 form10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal quarter ended December 31, 2018 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT For the transition period from to STEM HOLDINGS, INC. (Exact name of small business i |
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| February 14, 2019 |
STMH / Stem Holdings Inc NT 10-Q NT 10-Q 1 nt10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number 000-55751 NOTIFICATION OF LATE FILING (Check One): [ ] Form 10-K [ ] Form 11-K [ ] Form 20-F [X] Form 10-Q [ ] Form N-SAR For Period Ended: December 31, 2018 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 10-Q [ ] Transition Report on Form 20-F [ ] Transit |
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| February 14, 2019 |
8-K 1 form8-k.htm 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 of earliest event reported): February 13, 2019 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporatio |
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| February 12, 2019 |
EXHIBIT 2.1 |
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| February 12, 2019 |
STEM HOLDINGS, INC. UNAUDITED PRO FORMA FINANCIAL STATEMENTS EX-99.2 4 ex99-2.htm EXHIBIT 99.2 Stem Holdings, Inc. Pro Forma Balance Sheet See Accompanying Notes Historical Historical September 30, December 31, 2018 2017 Pro Forma Stem Holdings, Inc. Yerba Oregon, LLC Proforma Adjustments Stem Holdings, Inc. (Audited) (Audited) ASSETS Current Assets Cash and cash equivalents $ 761,351 338,857 (338,857 )(a) (350,000 )(b) $ 411,351 Prepaid expenses and other |
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| February 12, 2019 |
EXHIBIT 99.1 YERBA OREGON, LLC Financial Statements and Independent Accountants’ Report December 31, 2017 and 2016 YERBA OREGON, LLC December 31, 2017 and 2016 TABLE OF CONTENTS Page(s) Report of Independent Registered Public Accounting Firm 1 Balance Sheets 2 Statements of Operations 3 Statement of Changes in Members’ Equity 4 Statements of Cash Flows 5 Notes of Financial Statements 6 - 14 REPORT |
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| February 12, 2019 |
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 of earliest event reported): February 11, 2019 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| January 14, 2019 |
STMH / Stem Holdings Inc 10-K (Annual Report) 10-K 1 form10-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2018 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-55751 |
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| December 31, 2018 |
STMH / Stem Holdings Inc NT 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number 000-55751 NOTIFICATION OF LATE FILING (Check One): [X] Form 10-K [ ] Form 11-K [ ] Form 20-F [ ] Form 10-Q [ ] Form N-SAR For Period Ended: September 30, 2018 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 10-Q [ ] Transition Report on Form 20-F [ ] Transition Report on Form N-SAR [ ] Transition Report on Form 11-K For Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| December 28, 2018 |
Stem Holdings Inc. Announces Closing of the First Tranche of Private Placement for Aggregate Gross Proceeds of Approximately C$3 Million BOCA RATON, December 27, 2018 – Stem Holdings Inc. (OTCQB: STMH CSE: STEM) (the “Company” or “Stem”) announces it has closed the first tranche of its brokered and non-brokered private placement of 3,121 special warrants of the Company (the “CD Special Warrants”), |
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| December 28, 2018 |
8-K 1 form8-k.htm 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 of earliest event reported): December 27, 2018 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction (Commission (IR |
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| December 6, 2018 |
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 of earliest event reported): July 13, 2018 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission File No |
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| November 5, 2018 |
Stem Holdings Inc. Announces C$10 Million Offering of Convertible Debenture Special Warrants EX-99.1 2 ex99-1.htm Stem Holdings Inc. Announces C$10 Million Offering of Convertible Debenture Special Warrants BOCA RATON, November 5, 2018 – Stem Holdings Inc. (OTCQB: STMH CSE: STEM) (the “Company” or “Stem”) is pleased to announce the Company will offer on a private placement basis up to 10,000 special warrants of the Company (the “CD Special Warrants”), at a price of $1,000 per CD Special W |
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| November 5, 2018 |
Financial Statements and Exhibits, Other Events 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 of earliest event reported): November 5, 2018 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction (Commission (IRS Employer of Incor |
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| August 15, 2018 |
STMH / Stem Holdings Inc 10-Q/A (Quarterly Report) 10-Q/A 1 form10-qa.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q/A (First Amendment) (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal quarter ended June 30, 2018 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT For the transition period from to STEM HOLDINGS, INC. (Exact name |
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| August 14, 2018 |
STMH / Stem Holdings Inc 10-Q (Quarterly Report) 10-Q 1 form10q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal quarter ended June 30, 2018 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT For the transition period from to STEM HOLDINGS, INC. (Exact name of small business issuer |
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| July 26, 2018 |
STMH / Stem Holdings Inc / Groussman Mark Passive Investment SC 13G/A 1 formsc13ga.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A First Amendment Under the Securities Exchange Act of 1934 Stem Holdings, Inc. (Name of Issuer) COMMON STOCK, PAR VALUE $0.001 (Title of Class of Securities) 85858U107 (CUSIP Number) December 5, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to des |
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| July 13, 2018 |
STMH / Stem Holdings Inc / Groussman Mark Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Stem Holdings, Inc. (Name of Issuer) COMMON STOCK, PAR VALUE $0.00 (Title of Class of Securities) 85858U107 (CUSIP Number) December 5, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedu |
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| June 26, 2018 |
STMH / Stem Holdings Inc DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2) [X] Definitive Pr |
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| June 14, 2018 |
VYCO / Vycor Medical, Inc. / Groussman Mark Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) STEM HOLDINGS, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.001 (Title of Class of Securities) 85858U107 (CUSIP Number) Mark Groussman Flying High Financial Corporation |
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| June 12, 2018 |
STMH / Stem Holdings Inc PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2) [ ] Definitive Pr |
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| June 12, 2018 |
STMH / Stem Holdings Inc CORRESP Stem Holdings, Inc. 7777 Glades Road, Suite 203 Boca Raton, FL 33434 June 11, 2018 VIA EDGAR United States Securities and Exchange Commission Division of Corporate Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Joshua Lobert, Staff Attorney Re: Stem Holdings, Inc. (the “Company”) Form PRE 14C File No. 000-55751 Filed on June 1, 2018 Ladies and Gentlemen: On behalf of the Company, we are r |
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| June 1, 2018 |
STMH / Stem Holdings Inc PRE 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14C (RULE 14C-101) SCHEDULE 14C INFORMATION INFORMATION STATEMENT PURSUANT TO SECTION 14(C) OF THE SECURITIES EXCHANGE ACT OF 1934 Check the appropriate box: [X] Preliminary Information Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-5(d) (1)) [ ] Definitive Information Statement S |
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| May 15, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal quarter ended March 31, 2018 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT For the transition period from to STEM HOLDINGS, INC. (Exact name of small business issuer as specified in i |
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| May 1, 2018 |
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 of earliest event reported): May 1, 2018 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) (Commission File No.) |
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| April 16, 2018 |
Other Events, Financial Statements and Exhibits 8-K 1 form8-k.htm 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 of earliest event reported): April 12, 2018 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction (Commission (I.R.S |
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| April 16, 2018 |
8-K 1 form8-k.htm 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 of earliest event reported): March 6, 2018 Stem Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction of Incorporation) ( |
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| February 14, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal quarter ended December 31, 2017 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT For the transition period from to STEM HOLDINGS, INC. (Exact name of small business issuer as specified i |
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| January 16, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2017 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-55751 STEM HOLDINGS, INC. |
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| December 29, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number 000-55751 NOTIFICATION OF LATE FILING (Check One): [X] Form 10-K [ ] Form 11-K [ ] Form 20-F [ ] Form 10-Q [ ] Form N-SAR For Period Ended: September 30, 2017 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 10-Q [ ] Transition Report on Form 20-F [ ] Transition Report on Form N-SAR [ ] Transition Report on Form 11-K For Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| August 21, 2017 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q United States SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal quarter ended June 30, 2017 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT For the transition period from to STEM HOLDINGS, INC. (Exact name of small business issuer as specified in it |
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| August 15, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number 000-55751 NOTIFICATION OF LATE FILING (Check One): [ ] Form 10-K [ ] Form 11-K [ ] Form 20-F [X] Form 10-Q [ ] Form N-SAR For Period Ended: June 30, 2017 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 10-Q [ ] Transition Report on Form 20-F [ ] Transition Report on Form N-SAR [ ] Transition Report on Form 11-K For Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| June 26, 2017 |
Stem Holdings, Inc. 20283 State Road 7 Boca Raton, FL 33498 June 20, 2017 Stem Holdings, Inc. 20283 State Road 7 Boca Raton, FL 33498 June 20, 2017 VIA EDGAR United States Securities and Exchange Commission Division of Corporate Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Jennifer Gowetski, Senior Counsel Re: Stem Holdings, Inc. (the “Company”) Form 10-12G Amendment No. 1 File No. 000-55751 Filed on April 5, 2017 Ladies and Gentlemen: On behalf of the Compan |
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| June 21, 2017 |
EX-10.5 3 ex10-5.htm |
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| June 21, 2017 | ||
| June 21, 2017 | ||
| June 21, 2017 | ||
| June 21, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10 Amendment #2 GENERAL FORM FOR REGISTRATION OF SECURITIES Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 STEM HOLDINGS, INC. (Exact name of registrant as specified in its charter) Nevada 61-1794883 (State or other jurisdiction I.R.S. Employer of incorporation) Identification Number 20283 State R |
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| June 5, 2017 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q United States SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal quarter ended March 31, 2017 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT For the transition period from to STEM HOLDINGS, INC. (Exact name of small business issuer as specified in i |
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| May 31, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number 000-55751 NOTIFICATION OF LATE FILING (Check One): [ ] Form 10-K [ ] Form 11-K [ ] Form 20-F [X] Form 10-Q [ ] Form N-SAR For Period Ended: March 31, 2017 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 10-Q [ ] Transition Report on Form 20-F [ ] Transition Report on Form N-SAR [ ] Transition Report on Form 11-K For Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| April 28, 2017 |
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 of earliest event reported): April 27, 2017 Stem Holdings, Inc. (Exact Name of Registrant as Specified in Charter) Nevada 000-55751 61-1794883 (State or Other Jurisdiction (Commission (IRS Employer of Incorporati |
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| April 5, 2017 | ||
| April 5, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10 Amendment #1 GENERAL FORM FOR REGISTRATION OF SECURITIES Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 STEM HOLDINGS, INC. (Exact name of registrant as specified in its charter) Nevada 61-1794883 (State or other jurisdiction I.R.S. Employer of incorporation) Identification Number 20283 State R |
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| April 5, 2017 |
Stem Holdings,Inc. 20283 State Road 7 Boca Raton, FL 33498 April 4, 2017 Stem Holdings,Inc. 20283 State Road 7 Boca Raton, FL 33498 April 4, 2017 VIA EDGAR United States Securities and Exchange Commission Division of Corporate Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Jennifer Gowetski, Senior Counsel Re: Stem Holdings, Inc. (the ?Company?) Form 10-12G File No. 000-55751 Filed on February 13, 2017 Ladies and Gentlemen: On behalf of the Company, we are res |
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| February 13, 2017 |
Stem holdings, INC. patch international inc. ARRANGEMENT AGREEMENT November 11, 2016 EX-10.1 6 ex10-1.htm Stem holdings, INC. AND patch international inc. ARRANGEMENT AGREEMENT November 11, 2016 - 2 - TABLE OF CONTENTS Article 1 INTERPRETATION 4 1.1 Definitions 4 1.2 Interpretation Not Affected by Headings, etc. 16 1.3 Number, etc. 16 1.4 Capitalized Terms 16 1.5 Date for Any Action 16 1.6 Entire Agreement 16 1.7 Currency 16 1.8 Certain Phrases and References, etc. 16 1.9 Accounti |
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| February 13, 2017 |
Articles of Incorporation of Stem Holdings, Inc. (previously filed on February 13, 2017) |
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| February 13, 2017 |
MULTIPARTY AGREEMENT WHEREAS, Stem Holdings, Inc., a Nevada corporation (?Stem?), was organized to enter into certain real estate and other transactions in the State of Oregon; WHEREAS, the founding and majority shareholders of Stem are: (a) 1,833,333 shares?Oregon Acquisitions JV, LLC, a limited liability company organized under the laws of Oregon (?ORAJV?), which is further owned 50% by Gated Or |
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| February 13, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10 GENERAL FORM FOR REGISTRATION OF SECURITIES Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 STEM HOLDINGS, INC. (Exact name of registrant as specified in its charter) Nevada 61-1794883 (State or other jurisdiction I.R.S. Employer of incorporation) Identification Number 20283 State Rd 7, Boca Rat |
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| February 13, 2017 | ||
| February 13, 2017 |
STEM HOLDINGS, INC. 2016 EMPLOYEE, DIRECTOR AND CONSULTANT STOCK PLAN STEM HOLDINGS, INC. 2016 EMPLOYEE, DIRECTOR AND CONSULTANT STOCK PLAN 1. DEFINITIONS. Unless otherwise specified or unless the context otherwise requires, the following terms, as used in this Stem Holdings, Inc. 2016 Employee, Director and Consultant Stock Plan, have the following meanings: (a) ?Administrator? means the Board, unless it has delegated power to act on its behalf to the Committee, in |
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| February 13, 2017 |
Bylaws of Stem Holdings, Inc. (previously filed on February 13, 2017) EX-3.2 3 ex3-2.htm BYLAWS OF STEM HOLDINGS, INC. (a Nevada corporation) 1 BYLAWS OF STEM HOLDINGS, INC. ARTICLE I. STOCKHOLDERS Section 1.01 Annual Meeting. An annual meeting of the stockholders of the corporation shall be held on the date and at the time and place as shall be designated from time to time by the board of directors (the “Board of Directors”) and stated in the notice of the meeting, |
