4//SEC Filing
Venkataraman Swaminathan 4
Accession 0001664703-21-000198
CIK 0001664703other
Filed
Dec 19, 7:00 PM ET
Accepted
Dec 20, 9:09 PM ET
Size
12.8 KB
Accession
0001664703-21-000198
Insider Transaction Report
Form 4
Venkataraman Swaminathan
EVP of Engineering and CTO
Transactions
- Conversion
Class B Common Stock
2021-12-16+6,666→ 0 total→ Class A Common Stock (6,666 underlying) - Sale
Class A Common Stock
2021-12-16$22.96/sh−4,166$95,656→ 99,912 total - Exercise/Conversion
Class A Common Stock
2021-12-16+6,666→ 106,578 total - Exercise/Conversion
Stock Option (Right to Buy Class B Common Stock)
2021-12-16−6,666→ 82,214 totalExercise: $15.00Exp: 2028-07-23→ Class B Common Stock (6,666 underlying)
Holdings
- 36,554(indirect: By Trust)
Class A Common Stock
Footnotes (5)
- [F1]Sale of shares to cover tax withholding obligation incurred upon settlement of the restricted stock units effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
- [F2]The price reported represents the weighted average sale price per share. The shares were sold in multiple transactions at prices ranging from $22.79 to $23.03. 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.
- [F3]Held by The Venkataraman Living Trust UTA dtd 6/8/2011, of which the Reporting Person is a trustee.
- [F4]The option vests in three equal annual installments commencing on the second-year anniversary of July 24, 2018, followed by the third and fourth anniversaries, so that the entire grant is full vested on the 4th year anniversary of July 24, 2018, subject to the Reporting Person's continued service through each vesting date.
- [F5]The Class B Common Stock is convertible into Class A Common Stock on a 1-for-1 basis (a) at the option of the holder; 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 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.
Documents
Issuer
Bloom Energy Corp
CIK 0001664703
Entity typeother
Related Parties
1- filerCIK 0001746127
Filing Metadata
- Form type
- 4
- Filed
- Dec 19, 7:00 PM ET
- Accepted
- Dec 20, 9:09 PM ET
- Size
- 12.8 KB