Filing Details
- Accession Number:
- 0001868941-22-000095
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-09-08 16:40:25
- Reporting Period:
- 2022-09-07
- Accepted Time:
- 2022-09-08 16:40:25
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1868941 | Fluence Energy Inc. | FLNC | Miscellaneous Electrical Machinery, Equipment & Supplies (3690) | 871304612 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1884308 | Dennis Fehr | C/O Fluence Energy, Inc. 4601 Fairfax Drive, Suite 600 Arlington VA 22203 | Svp & Chief Financial Officer | 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 | 2022-09-07 | 40,000 | $2.45 | 70,590 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2022-09-07 | 40,000 | $19.26 | 30,590 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2022-09-07 | 40,000 | $2.45 | 70,590 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2022-09-07 | 40,000 | $19.33 | 30,590 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2022-09-07 | 40,000 | $2.45 | 70,590 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2022-09-07 | 40,000 | $19.39 | 30,590 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 A Common Stock | Stock Option | Disposition | 2022-09-07 | 40,000 | $0.00 | 40,000 | $2.45 |
| Class A Common Stock | Stock Option | Disposition | 2022-09-07 | 40,000 | $0.00 | 40,000 | $2.45 |
| Class A Common Stock | Stock Option | Disposition | 2022-09-07 | 40,000 | $0.00 | 40,000 | $2.45 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 399,359 | 2031-04-02 | No | 4 | M | Direct | |
| 359,359 | 2031-04-02 | No | 4 | M | Direct | |
| 319,359 | 2031-04-02 | No | 4 | M | Direct |
Footnotes
- Proceeds from the sale were used to pay the exercise price of such portion of the stock option, pursuant to a broker-assisted cashless exercise, and applicable withholding taxes.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple open market transactions at prices ranging from $19.2 to $19.395, inclusive. The Reporting Person undertakes to provide to Fluence Energy, Inc. ("Fluence"), any security holder of Fluence, 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 indicated in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple open market transactions at prices ranging from $19.25 to $19.40, inclusive. The Reporting Person undertakes to provide to Fluence, any security holder of Fluence, 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 indicated in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple open market transactions at prices ranging from $19.35 to $19.49, inclusive. The Reporting Person undertakes to provide to Fluence, any security holder of Fluence, 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 indicated in this footnote.
- Represents part of a single option award grant initially for an aggregate 455,674 shares, which vests in three equal annual installments. 1/3rd of the aggregate shares subject to the option became vested and exercisable on April 2, 2022.
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