Statement of Changes in Beneficial Ownership (4)
July 07 2020 - 7:09PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Sridhar KR |
2. Issuer Name and Ticker or Trading Symbol
Bloom Energy Corp
[
BE
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President & CEO |
(Last)
(First)
(Middle)
4353 NORTH FIRST STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/2/2020 |
(Street)
SAN JOSE, CA 95134
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Class A common stock | 7/2/2020 | | A | | 250000 (1) | A | $0.00 | 258000 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Class B Common Stock | (2) | 5/20/2020 | | G |
V
| | 133333 | (2) | (2) | Class A Common Stock | 133333 | $0.00 | 1202754 | D | |
Class B Common Stock | (2) | 5/20/2020 | | G |
V
| | 133333 | (2) | (2) | Class A Common Stock | 133333 | $0.00 | 1069421 | D | |
Class B Common Stock | (2) | 5/20/2020 | | G |
V
| | 133333 | (2) | (2) | Class A Common Stock | 133333 | $0.00 | 936088 | D | |
Class B Common Stock | (2) | 5/20/2020 | | G |
V
| 133333 | | (2) | (2) | Class A Common Stock | 133333 | $0.00 | 133333 | I | By Trust (3) |
Class B Common Stock | (2) | 5/20/2020 | | G |
V
| 133333 | | (2) | (2) | Class A Common Stock | 133333 | $0.00 | 133333 | I | By Trust (4) |
Class B Common Stock | (2) | 5/20/2020 | | G |
V
| 133333 | | (2) | (2) | Class A Common Stock | 133333 | $0.00 | 133333 | I | By Trust (5) |
Explanation of Responses: |
(1) | Restricted Stock Units (RSU) granted under the Bloom Energy Corporation 2018 Equity Incentive Plan. 1/3 of the total RSU will vest on June 15, 2021, and the reamining will vest in equal quarterly installments thereafter for two years subject to the reporting person's continued service through each vesting date. |
(2) | All 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. |
(3) | Held by the KR Sridhar and Sudha Sarma 2019-1 Two Year Grantor Retained Annuity Trust. |
(4) | Held by the KR Sridhar and Sudha Sarma 2019-1 Three Year Grantor Retained Annuity Trust. |
(5) | Held by the KR Sridhar and Sudha Sarma 2019-1 Four Year Grantor Retained Annuity Trust. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Sridhar KR 4353 NORTH FIRST STREET SAN JOSE, CA 95134 | X |
| President & CEO |
|
Signatures
|
/s/Shawn Soderberg, attorney-in-fact | | 7/7/2020 |
**Signature of Reporting Person | Date |
Bloom Energy (NYSE:BE)
Historical Stock Chart
From Aug 2024 to Sep 2024
Bloom Energy (NYSE:BE)
Historical Stock Chart
From Sep 2023 to Sep 2024