0001209191-19-061639.txt : 20191220 0001209191-19-061639.hdr.sgml : 20191220 20191220182352 ACCESSION NUMBER: 0001209191-19-061639 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191218 FILED AS OF DATE: 20191220 DATE AS OF CHANGE: 20191220 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sridhar KR CENTRAL INDEX KEY: 0001746277 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38598 FILM NUMBER: 191303067 MAIL ADDRESS: STREET 1: 1299 ORLEANS DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Bloom Energy Corp CENTRAL INDEX KEY: 0001664703 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRICAL INDUSTRIAL APPARATUS [3620] IRS NUMBER: 770565408 STATE OF INCORPORATION: DE BUSINESS ADDRESS: STREET 1: 4353 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: 408-543-1500 MAIL ADDRESS: STREET 1: 4353 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-12-18 0 0001664703 Bloom Energy Corp BE 0001746277 Sridhar KR 4353 NORTH FIRST STREET SAN JOSE CA 95134 0 1 0 0 President, CEO Class A common stock 2019-12-18 4 C 0 1394 0.00 A 9394 D Class A common stock 2019-12-18 4 C 0 39011 0.00 A 48405 D Class A common stock 2019-12-18 4 C 0 91574 0.00 A 139979 D Class A common stock 2019-12-18 4 C 0 341196 0.00 A 481175 D Class A common stock 2019-12-19 4 S 0 473175 6.5543 D 8000 D Restricted stock units (Class B comnon stock) 2019-12-18 4 M 0 2537 0.00 D Class B common stock 2537 0 D Class B common stock 2019-12-18 4 A 0 2537 0.00 A Class A common stock 2537 2537 D Class B common stock 2019-12-18 4 C 0 1394 0.00 D Class A common stock 1143 1143 D Restricted stock units (Class B common stock) 2019-12-18 4 M 0 71000 0.00 D Class B common stock 71000 142000 D Class B common stock 2019-12-18 4 A 0 71000 0.00 A Class A common stock 71000 71000 D Class B common stock 2019-12-18 4 C 0 39011 0.00 D Class A common stock 31989 31989 D Restricted stock units (Class B common stock) 2019-12-18 4 M 0 620989 0.00 D Class B common stock 620989 1862964 D Class B common stock 2019-12-18 4 A 0 620989 0.00 A Class A common stock 620989 620989 D Class B common stock 2019-12-18 4 C 0 341196 0.00 D Class A common stock 279793 279793 D Restricted stock units (Class B common stock) 2019-12-18 4 M 0 166667 0.00 D Class B common stock 166667 166667 D Class B common stock 2019-12-18 4 A 0 166667 0.00 A Class A common stock 166667 166667 D Class B common stock 2019-12-18 4 C 0 91574 0.00 D Class A comomn stock 75093 75093 D Conversion of derivative security in accordance with its terms. Sales of shares to satisfy tax withholding obligations incurred in connection with the settlement of vested restricted stock units. Such sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. This transaction was executed in multiple trades at prices ranging from $6.18 to $7.17. The price reported above reflects the weighted average sales price. 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. Each RSU represents a contingent right to receive 1 share of the issuer's Class B Common Stock upon settlement. Fully vested. Settlement was deferred to December 18, 2019 at the election of the reporting person. 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. The RSUs vest 34% on January 25, 2019; 33% on the January 25, 2020; and 33% on January 25, 2021. Settlement of the vested RSUs reported on this Form 4 was deferred to December 18, 2019 at the election of the reporting person. The RSUs vest in equal installments every six months over two years from July 25, 2018, the date of grant. Settlement of the vested RSUs reported on this Form 4 was deferred to December 18, 2019 at the election of the reporting person. The RSUs vest 50% on January 25, 2019 and 50% on January 25, 2020. Settlement of the vested RSUs reported on this Form 4 was deferred to December 18, 2019 at the election of the reporting person. /s/ Shawn Soderberg as attorney in fact for reporting person 2019-12-20