SEC Form 4 · accession 0001209191-19-014127
Bloom Energy Corp · BE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Swaminathan Venkataraman
Officer — EVP of Engineering and CTO
Period of report
Feb 25, 2019
Accepted (ET)
Feb 27, 2019 · 5:12 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 | Feb 25, 2019 | C | 4,188 | $0.00 | A | 59,738 | D | |
| Class A Common StockF2 | Feb 25, 2019 | S | 24,188 | $15.00 | D | 55,550 | D | |
| Class A Common Stock | holding | — | — | — | 290,000 | I | The Venkataraman Living Trust dated June 8, 2011 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy Class B Common Stock)F3 | $5.63 | Feb 25, 2019 | M | 4,188 | D | — | Aug 5, 2020 | Class B Common Stock | 4,188 | 45,812 | D |
| Class B Common StockF4 | — | Feb 25, 2019 | M | 4,188 | A | — | — | Class A Common Stock | 4,188 | 4,188 | D |
| Class B Common StockF4 | — | Feb 25, 2019 | C | 4,188 | D | — | — | Class A Common Stock | 4,188 | 0 | D |
Explanation of responses
- F1Conversion of a derivative security pursuant to its terms.
- F2Includes 20,000 shares previously held indirectly as Swaminathan Venkataraman, Trustee of The Venkataraman Living Trust dated June 8, 2011 which were transferred to the reporting person immediately prior to the sale.
- F3The option is fully vested.
- F4All the outstanding shares of our Class B common stock will convert automatically into shares of our Class A common stock upon the occurrence of certain events. In addition, Class B common stock may be converted into shares of Class A common stock at any time at the election of the holder.