Filing Details
- Accession Number:
- 0001209191-19-061639
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-12-20 18:23:52
- Reporting Period:
- 2019-12-18
- Accepted Time:
- 2019-12-20 18:23:52
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1664703 | Bloom Energy Corp | BE | Electrical Industrial Apparatus (3620) | 770565408 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1746277 | Kr Sridhar | 4353 North First Street San Jose CA 95134 | President, Ceo | 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 | 2019-12-18 | 1,394 | $0.00 | 9,394 | No | 4 | C | Direct | |
| Class A Common Stock | Acquisiton | 2019-12-18 | 39,011 | $0.00 | 48,405 | No | 4 | C | Direct | |
| Class A Common Stock | Acquisiton | 2019-12-18 | 91,574 | $0.00 | 139,979 | No | 4 | C | Direct | |
| Class A Common Stock | Acquisiton | 2019-12-18 | 341,196 | $0.00 | 481,175 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2019-12-19 | 473,175 | $6.55 | 8,000 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | C | 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 comnon stock) | Disposition | 2019-12-18 | 2,537 | $0.00 | 2,537 | $0.00 |
| Class A Common Stock | Class B common stock | Acquisiton | 2019-12-18 | 2,537 | $0.00 | 2,537 | $0.00 |
| Class A Common Stock | Class B common stock | Disposition | 2019-12-18 | 1,394 | $0.00 | 1,143 | $0.00 |
| Class B Common Stock | Restricted stock units (Class B common stock) | Disposition | 2019-12-18 | 71,000 | $0.00 | 71,000 | $0.00 |
| Class A Common Stock | Class B common stock | Acquisiton | 2019-12-18 | 71,000 | $0.00 | 71,000 | $0.00 |
| Class A Common Stock | Class B common stock | Disposition | 2019-12-18 | 39,011 | $0.00 | 31,989 | $0.00 |
| Class B Common Stock | Restricted stock units (Class B common stock) | Disposition | 2019-12-18 | 620,989 | $0.00 | 620,989 | $0.00 |
| Class A Common Stock | Class B common stock | Acquisiton | 2019-12-18 | 620,989 | $0.00 | 620,989 | $0.00 |
| Class A Common Stock | Class B common stock | Disposition | 2019-12-18 | 341,196 | $0.00 | 279,793 | $0.00 |
| Class B Common Stock | Restricted stock units (Class B common stock) | Disposition | 2019-12-18 | 166,667 | $0.00 | 166,667 | $0.00 |
| Class A Common Stock | Class B common stock | Acquisiton | 2019-12-18 | 166,667 | $0.00 | 166,667 | $0.00 |
| Class A Comomn Stock | Class B common stock | Disposition | 2019-12-18 | 91,574 | $0.00 | 75,093 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct | ||
| 2,537 | No | 4 | A | Direct | ||
| 1,143 | No | 4 | C | Direct | ||
| 142,000 | No | 4 | M | Direct | ||
| 71,000 | No | 4 | A | Direct | ||
| 31,989 | No | 4 | C | Direct | ||
| 1,862,964 | No | 4 | M | Direct | ||
| 620,989 | No | 4 | A | Direct | ||
| 279,793 | No | 4 | C | Direct | ||
| 166,667 | No | 4 | M | Direct | ||
| 166,667 | No | 4 | A | Direct | ||
| 75,093 | No | 4 | C | Direct |
Footnotes
- Conversion of derivative security in accordance with its terms.
- Sales of shares to satisfy tax withholding obligations incurred in connection with the settlement of vested restricted stock units. Such sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- This transaction was executed in multiple trades at prices ranging from $6.18 to $7.17. 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.
- Fully vested. Settlement was deferred to December 18, 2019 at the election of the reporting person.
- 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.
- The RSUs vest 34% on January 25, 2019; 33% on the January 25, 2020; and 33% on January 25, 2021. Settlement of the vested RSUs reported on this Form 4 was deferred to December 18, 2019 at the election of the reporting person.
- The RSUs vest in equal installments every six months over two years from July 25, 2018, the date of grant. Settlement of the vested RSUs reported on this Form 4 was deferred to December 18, 2019 at the election of the reporting person.
- The RSUs vest 50% on January 25, 2019 and 50% on January 25, 2020. Settlement of the vested RSUs reported on this Form 4 was deferred to December 18, 2019 at the election of the reporting person.
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