Filing Details
- Accession Number:
- 0001209191-19-059397
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2019-12-05 19:54:36
- Reporting Period:
- 2019-12-03
- Accepted Time:
- 2019-12-05 19:54:36
- Original Submission Date:
- 2019-12-05
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1664703 | Bloom Energy Corp | BE | () | 4/A |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1245699 | W Randy Furr | 4353 North First Street San Jose CA 95134 | Evp And Cfo | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2019-12-03 | 93,334 | $0.00 | 242,231 | No | 4 | C | Direct | |
| Class A Common Stock | Acquisiton | 2019-12-03 | 98,684 | $0.00 | 340,915 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2019-12-04 | 100,044 | $5.72 | 240,871 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class B Common Stock | Restricted stock units (Class B common stock) | Disposition | 2019-12-03 | 40,000 | $0.00 | 40,000 | $0.00 |
| Class A Common Stock | Class B common stock | Acquisiton | 2019-12-03 | 40,000 | $0.00 | 40,000 | $0.00 |
| Class A Common Stock | Class B common stock | Disposition | 2019-12-03 | 40,000 | $0.00 | 40,000 | $0.00 |
| Class B Common Stock | Restricted stock units (Class B common stock) | Disposition | 2019-12-03 | 53,334 | $0.00 | 53,334 | $0.00 |
| Class A Common Stock | Class B common stocki | Acquisiton | 2019-12-03 | 53,334 | $0.00 | 53,334 | $0.00 |
| Class A Common Stock | Class B common stock | Disposition | 2019-12-03 | 53,334 | $0.00 | 53,334 | $0.00 |
| Class A Common Stock | Restricted stock units (Class A common stock) | Disposition | 2019-12-03 | 98,684 | $0.00 | 98,684 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 40,000 | 2028-07-24 | No | 4 | M | Direct | |
| 40,000 | No | 4 | M | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | 2028-07-24 | No | 4 | M | Direct | |
| 53,334 | No | 4 | M | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 197,367 | 2028-07-27 | No | 4 | M | Direct |
Footnotes
- Conversion of a derivative security pursuant to its terms.
- Includes 1,105 shares acquired under the Bloom Energy Corporation Employee Stock Purchase Plan on August 14, 2019.
- Sales of shares to satisfy tax withholding obligations incurred in connection with the vesting of restricted stock units. Such sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 13, 2019.
- This transaction was executed in multiple trades at prices ranging from $5.42 to $6.4199. The price reported above reflects the weighted average sales price. The reporting person undertakes to provide Bloom Energy Corporation, any security holder of Bloom Energy Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- Each RSU represents a contingent right to receive 1 share of the issuer's Class B Common Stock upon settlement.
- The RSU's will vest on the first allowable trading date following July 24, 2020, subject to the Company's Insider Trading Policy and trading window and to the reporting person's continued service through the vesting date.
- All the outstanding shares of our Class B common stock will convert automatically into shares of our Class A common stock upon the occurrence of certain events. In addition, Class B common stock may be converted into shares of Class A common stock at any time at the election of the holder.
- Delivery of shares that vested on July 25, 2019 was deferred by the reporting person until December 3, 2019.
- Each RSU represents a contingent right to receive 1 share of the issuer's Class A common stock.
- The RSU vests over two years at six month intervals from July 27, 2018 and during an open trading window, subject to the reporting person's continuous service with the Issuer through each vesting date.
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