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BE Bloom Energy Corporation

11.79
0.35 (3.06%)
Last Updated: 16:23:51
Delayed by 15 minutes
Share Name Share Symbol Market Type
Bloom Energy Corporation NYSE:BE NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.35 3.06% 11.79 12.23 11.70 11.84 1,871,304 16:23:51

Statement of Changes in Beneficial Ownership (4)

19/02/2020 11:42pm

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 *

Venkataraman Swaminathan
2. Issuer Name and Ticker or Trading Symbol

Bloom Energy Corp [ BE ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
EVP of Engineering and CTO
(Last)          (First)          (Middle)

4353 NORTH FIRST STREET
3. Date of Earliest Transaction (MM/DD/YYYY)

2/15/2020
(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 2/18/2020  S(1)  6156 D$11.4604 (2)243173 (3)D  
Class A common stock         389146 I By trust (4)

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 Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares

Explanation of Responses:
(1) Sales of shares to cover tax withholding obligation incurred upon settlement of RSUs that vested on February 15, 2020 (the initial acquisition of which had already been reported on Table I), executed pursuant to a Rule 10b5-1 trading plan entered into by reporting person. Proceeds of sales were tendered to the issuer for payment to the applicable taxing authorities.
(2) The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $11.22 to $11.62, inclusive. The reporting person undertakes to provide Bloom Energy Corporation, any security holder of Bloom Energy Corporation, 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 set forth above.
(3) Includes 2,500 shares acquired on February 14, 2020 pursuant to Issuer's Employee Stock Purchase Plan.
(4) Held by The Venkataraman Living Trust UTA dtd 6/8/2011 of which the reporting person is a trustee.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Venkataraman Swaminathan
4353 NORTH FIRST STREET
SAN JOSE, CA 95134


EVP of Engineering and CTO

Signatures
By Shawn Soderberg as attorney in fact2/19/2020
**Signature of Reporting PersonDate

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