Filing Details
- Accession Number:
- 0001209191-21-005782
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-01-27 20:30:30
- Reporting Period:
- 2021-01-25
- Accepted Time:
- 2021-01-27 20:30:30
- 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 |
|---|---|---|---|---|---|---|---|
| 1746127 | Swaminathan Venkataraman | 4353 North First Street San Jose CA 95134 | Evp & Cto | 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 | 2021-01-26 | 8,888 | $0.00 | 152,334 | No | 4 | C | Direct | |
| Class A Common Stock | Acquisiton | 2021-01-26 | 14,538 | $0.00 | 166,872 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2021-01-26 | 11,499 | $38.92 | 155,373 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2021-01-27 | 11,927 | $39.47 | 143,446 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | S | 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 | Disposition | 2021-01-25 | 8,888 | $0.00 | 8,888 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2021-01-25 | 8,888 | $0.00 | 8,888 | $0.00 |
| Class B Common Stock | Restricted Stock Units | Disposition | 2021-01-25 | 14,538 | $0.00 | 14,538 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2021-01-25 | 14,538 | $0.00 | 14,538 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2021-01-26 | 8,888 | $0.00 | 8,888 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2021-01-26 | 14,538 | $0.00 | 14,538 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct | ||
| 8,888 | No | 4 | M | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 23,426 | No | 4 | M | Direct | ||
| 14,538 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct |
Footnotes
- Sale of shares to cover taxes incurred upon vesting of restricted stock units (the "RSUs"), in accordance with a Rule 10b5-1 trading plan adopted by the Reporting Person.
- The price reported represents the weighted average sale price per share. These shares were sold in multiple transactions at prices ranging from $38.08 to $39.8097 per share. Upon request by the staff of the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
- Sale of shares were effected pursuant to a Rule 10b5-1 trading plan by the Reporting Person.
- The price reported represents the weighted average sale price per share. These shares were sold in multiple transactions at prices ranging from $37.33 to $41.45 per share. Upon request by the staff of the Securities and Exchange Commission, the Issuer, or any 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 Class B Common Stock of the Issuer upon settlement.
- The RSUs vested 34% on January 25, 2019 and the remaining RSUs vested in two equal installments on each of January 25, 2020 and January 25, 2021.
- The Class B Common Stock is convertible into Class A Common Stock of the the Issuer 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 5th 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 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 Board of the Issuer to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.
- The RSUs vested 34% on January 25, 2019 and the remaining RSUs vested in two equal installments on each of January 25, 2020 and January 25, 2021.
Billionaire Hedge Funds
