Filing Details
- Accession Number:
- 0001209191-20-048472
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-08-26 20:30:05
- Reporting Period:
- 2020-08-24
- Accepted Time:
- 2020-08-26 20:30:05
- 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 | Yes | 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 | 2020-08-24 | 29,987 | $0.00 | 509,030 | No | 4 | C | Direct | |
| Class A Common Stock | Acquisiton | 2020-08-24 | 332,163 | $0.00 | 841,193 | No | 4 | C | Direct | |
| Class A Common Stock | Acquisiton | 2020-08-24 | 89,149 | $0.00 | 930,342 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2020-08-25 | 488,247 | $16.02 | 442,095 | 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 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class B Common Stock | Restricted Stock Unit (RSU) | Disposition | 2020-08-24 | 71,000 | $0.00 | 71,000 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2020-08-24 | 71,000 | $0.00 | 71,000 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2020-08-24 | 29,987 | $0.00 | 29,987 | $0.00 |
| Class B Common Stock | Restricted Stock Unit (RSU) | Disposition | 2020-08-24 | 620,988 | $0.00 | 620,988 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2020-08-24 | 620,988 | $0.00 | 620,988 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2020-08-24 | 332,163 | $0.00 | 332,163 | $0.00 |
| Class B Common Stock | Restricted Stock Unit (RSU) | Disposition | 2020-08-24 | 166,667 | $0.00 | 166,667 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2020-08-24 | 166,667 | $0.00 | 166,667 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2020-08-24 | 89,149 | $0.00 | 89,149 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 71,000 | No | 4 | M | Direct | ||
| 1,105,493 | No | 4 | M | Direct | ||
| 1,075,506 | No | 4 | C | Direct | ||
| 620,988 | No | 4 | M | Direct | ||
| 1,696,494 | No | 4 | M | Direct | ||
| 1,364,331 | No | 4 | C | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 1,530,998 | No | 4 | M | Direct | ||
| 1,441,849 | No | 4 | C | Direct |
Footnotes
- Sales of shares to satisfy tax withholding obligations incurred upon settlement of Restricted Stock Units ("RSUs") that vested on August 24, 2020, the acquisition of which were previously reported on Table I and Table II. The shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
- The price reported represents the weighted average sale price per share.The shares were sold in multiple transactions at prices ranging from $15.76 to $16.48. Upon request by the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
- Each RSU represents a contingent right to receive one (1) share of the Issuer's Class B Common Stock upon settlement.
- This RSU award vested as to 1/3 of the RSUs on January 25, 2019; vested as to 1/3 of the RSUs on the January 25, 2020; and will vest as to 1/3 on January 25, 2021. Settlement of the vested RSUs reported on this Form 4 was deferred to August 24, 2020 at the election of the Reporting Person.
- The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except certain permitted transfers. All the outstanding shares of Class B Common Stock will convert automatically into shares of Class A common stock upon the date that is the earliest to occur of (i) immediately prior to the close of business on the fifth anniversary of July 27, 2018, (ii) immediately prior to the close of business on the date on which the outstanding shares of Class B Common Stock represent less than five percent (5%) of the aggregate number of shares of Class A Common Stock and Class B Common Stock then outstanding, (iii) the date and time, or the occurrence of an event, specified in a written conversion election delivered by KR Sridhar to the Secretary of the Issuer or Chairman of the Issuer's Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.
- Includes 98,405 shares transferred from the Reporting Holder's Grantor Retained Annuity Trusts.
- This RSU award vests 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 August 24, 2020 at the election of the Reporting Person.
- This RSU award vests as to 1/2 of the RSUs on January 25, 2019 and 1/2 of the RSUs on January 25, 2020. Settlement of the vested RSUs reported on this Form 4 was deferred to August 24, 2020 at the election of the Reporting Person. This RSU award is fully vested.
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