Sec Form 4 Filing - Venkataraman Swaminathan @ Bloom Energy Corp - 2019-09-25

Insider filing report for Changes in Beneficial Ownership
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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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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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/YY)
09/25/2019
(Street)
SAN JOSE, CA95134
4. If Amendment, Date Original Filed (MM/DD/YY)
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)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction 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 09/25/2019 C( 1 ) 169,491 A $ 0 257,711 ( 2 ) D
Class A common stock 09/26/2019 S( 3 ) 86,324 D $ 3.4095 ( 4 ) 171,387 D
Class A common stock 389,146 I By trust ( 5 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 (Class B Common Stock) $ 3.47 09/25/2019 M 44,445 07/24/2018 07/24/2028 Class B Common Stock 44,445 $ 0 0 D
Class B Common Stock ( 6 ) 09/25/2019 M 44,445 ( 6 ) ( 6 ) Class B common stock 44,445 $ 0 44,445 D
Class B common stock ( 6 ) 09/25/2019 C( 1 ) 44,445 ( 6 ) ( 6 ) Class A common stock 44,445 $ 0 0 D
Restricted Stock Units (Class B common stock) $ 3.47 09/25/2019 M 33,334 07/24/2018 07/24/2028 Class B common stock 33,334 $ 0 33,333 D
Class B common stock ( 6 ) 09/25/2019 M 33,334 ( 6 ) ( 6 ) Class B common stock 33,334 $ 0 33,334 D
Class B common stock ( 6 ) 09/25/2019 C( 1 ) 33,334 ( 6 ) ( 6 ) Class A common stock 33,334 $ 0 0 D
Restricted Stock Units (Class A common stock) $ 3.47 09/25/2019 M 91,712 ( 7 ) 08/01/2028 Class A common stock 91,712 $ 0 183,423 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Venkataraman Swaminathan
4353 NORTH FIRST STREET
SAN JOSE, CA95134
EVP of Engineering and CTO
Signatures
Shawn Soderberg as attorney in fact for reporting person 09/27/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Conversion of derivative security in accordance with its terms.
( 2 )Includes 1,105 Class A common shares issued on August 14, 2019 in connection with the reporting person's participation in the Company's Employee Stock Purchase Plan .
( 3 )Sale of shares pursuant to a Rule 10b5-1 trading plan entered into by reporting person
( 4 )Weighted average price
( 5 )Held by The Venkataraman Living Trust UTA dtd 6/8/2011 of which the reporting person is a trustee
( 6 )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.
( 7 )The RSU vests over two years at six month intervals from July 24, 2018 and during an open trading window, subject to the reporting person's continuous service with the Issuer through each vesting date.

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