Statement of Changes in Beneficial Ownership (4)
16 Maio 2023 - 08:45PM
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
|
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1. Name
and Address of Reporting Person * SODERBERG SHAWN
MARIE |
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, GC & Secretary |
(Last)
(First)
(Middle)
4353 NORTH FIRST STREET |
3. Date of Earliest Transaction (MM/DD/YYYY)
5/15/2023
|
(Street)
SAN JOSE, CA 95134 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
(City)
(State)
(Zip)
|
Rule 10b5-1(c) Transaction Indication
☐ Check this box to indicate
that a transaction was made pursuant to a contract, instruction or
written plan that is intended to satisfy the affirmative defense
conditions of Rule 10b5-1(c). See Instruction 10. |
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 |
5/15/2023 |
|
M |
|
3032 |
A |
$0.00 |
472663 |
D |
|
Class A Common Stock |
5/16/2023 |
|
S(1) |
|
1499 |
D |
$13.21 (2) |
471164 |
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 |
Restricted Stock Units |
(3) |
5/15/2023 |
|
M |
|
|
3032 |
(4) |
(4) |
Class A Common Stock |
3032 |
$0.00 |
9095 |
D |
|
Explanation of
Responses: |
(1) |
Sale of shares to cover tax
withholding obligation incurred upon settlement of restricted stock
units ("RSUs") effected pursuant to a Rule 10b5-1 trading plan
adopted by the Reporting Person. |
(2) |
The price reported
represents the weighted average sale price per share. The shares
were sold in multiple transactions at prices ranging from $13.16 to
$13.28. 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. |
(3) |
Each RSU represents a
contingent right to receive one (1) share of the Class A Common
Stock of the Issuer upon settlement. |
(4) |
RSUs vest over three years,
with a third of the RSUs vesting on the one-year anniversary of the
vesting commencement date, which is February 15, 2021, and the
remaining shares vesting in equal quarterly installments over the
next two years, subject to Reporting Person remaining a service
provider on each applicable vesting date. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
SODERBERG SHAWN MARIE
4353 NORTH FIRST STREET
SAN JOSE, CA 95134 |
|
|
EVP, GC & Secretary |
|
Signatures
|
/s/ Shawn M. Soderberg |
|
5/16/2023 |
**Signature of Reporting
Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
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