Venkataraman Swaminathan's Form 4 filing
Bloom Energy Corp (BE) · filed Mar 18, 2022
- Accession no.
- 0001664703-22-000046
- Filed
- Mar 18, 2022
- Trade date
- Mar 15-18, 2022
- Filing delay
- 3 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $150.0K. It was filed 3 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Venkataraman SwaminathanCIK 0001746127 | Officer (EVP of Engineering & CTO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 15, 2022 | Class A Common Stock | MOption exerciseAcquired | +6,495 | $0.00 | $0 | 134,357 | Direct | |
| Mar 16, 2022 | Class A Common Stock | SSaleDisposed | −4,394 | $21.39F2 | −$93,987.66 | 129,963 | Direct | |
| Mar 18, 2022 | Class A Common Stock | SSaleDisposed | −2,338 | $23.94F4 | −$55,971.72 | 127,625 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 15, 2022 | Class A Common Stock | MOption exerciseDisposed | −6,495 | $0.00 | $0 | 12,994 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
The price reported represents the weighted average sale price per share. The shares were sold in multiple transactions at prices ranging from $20.96 to $21.80. 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.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported represents the weighted average sale price per share. The shares were sold in multiple transactions at prices ranging from $23.8669 to $23.95. 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.
Referenced by the price of 1 transaction in Table I.