SEC Form 4 · accession 0001209191-19-011736

Bloom Energy Corp · BE

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP of Engineering and CTO

Period of report

Feb 15, 2019

Accepted (ET)

Feb 20, 2019 · 5:45 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001664703

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Class A Common Stock^F1,F2	Feb 15, 2019	A	53,050	$0.00	A	55,550	D
Class A Common Stock^F3	holding	—	—		—	310,000	I	The Venkataraman Living Trust dated June 8, 2011

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Non-qualified Stock Option)^F4	$11.31	Feb 15, 2019	A	53,050	A	—	—	Class A Common Stock	53,050	53,050	D

F1Restricted Stock Units granted under the Bloom Energy Corporation 2018 Equity Incentive Plan, in compliance with Rule 16b-3. The RSUs vest as to 25% of the shares on the one-year anniversary of the grant date and the remaining shares shall vest in equal quarterly increments from such one-year anniversary over the next three years.
F2Includes 2,500 shares acquired under the Bloom Energy Corporation 2018 Employee Stock Purchase Plan under Section 423 of the the Internal Revenue Code of 1988, as amended, in a transaction exempt under Rule 16b-3.
F3Swaminathan Venkataraman, Trustee of The Venkataraman Living Trust dated June 8, 2011.
F4Stock options granted under the Bloom Energy Corporation 2018 Equity Incentive Plan, in compliance with Rule 16b-3. The stock options vest as to 25% of the underlying shares on the one-year anniversary of the grant date and the remaining shares shall vest in equal quarterly increments from such one-year anniversary over the next three years. The stock options expire 10 years from the date of grant.