0001209191-18-044635.txt : 20180731
0001209191-18-044635.hdr.sgml : 20180731
20180731203212
ACCESSION NUMBER: 0001209191-18-044635
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180727
FILED AS OF DATE: 20180731
DATE AS OF CHANGE: 20180731
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FURR RANDY W
CENTRAL INDEX KEY: 0001245699
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38598
FILM NUMBER: 18982615
MAIL ADDRESS:
STREET 1: C/O SMART MODULAR TECHNOLOGIES, INC.
STREET 2: 39870 EUREKA DRIVE
CITY: NEWARK
STATE: CA
ZIP: 94560
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: 1299 ORLEANS DRIVE
CITY: SUNNYVALE
STATE: CA
ZIP: 94089
BUSINESS PHONE: 408-543-1500
MAIL ADDRESS:
STREET 1: 1299 ORLEANS DRIVE
CITY: SUNNYVALE
STATE: CA
ZIP: 94089
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-07-27
0
0001664703
Bloom Energy Corp
BE
0001245699
FURR RANDY W
1299 ORLEANS DRIVE
SUNNYVALE
CA
94089
0
1
0
0
EVP and CFO
Class A Common Stock
2018-07-27
4
P
0
5000
15.00
A
5000
D
Restricted Stock Units (RSU)(Class B Common Stock)
2018-07-27
4
A
0
19998
0.00
A
Class B Common Stock
19998
19998
D
Restricted Stock Units (RSU) (Class B Common Stock)
2018-07-27
4
A
0
3890
0.00
A
Class B Common Stock
3890
3890
D
Restricted Stock Unit (RSU) (Class B Common Stock)
2018-07-27
4
A
0
19125
0.00
A
Class B Common Stock
19125
19125
D
Each RSU represents a contingent right to receive 1 share of the issuer's Class B Common Stock upon settlement.
The RSU will vest 34% at the end of lock-up period and during an open trading window; 33% will vest on the first allowable trading date following the one-year anniversary of July 27, 2018; and the remaining 33% will vest on the first allowable trading date following the second-year anniversary of July 27, 2018, subject to the Company's Insider Trading Policy and trading window and to the reporting person's continued service with the Issuer through each vesting date.
The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except certain permitted transfers. All the outstanding shares of Class B Common Stock will convert automatically into shares of Class A common stock upon the date that is the earliest to occur of (i) immediately prior to the close of business on the fifth anniversary of July 27, 2018, (ii) immediately prior to the close of business on the date on which the outstanding shares of Class B Common Stock represent less than five percent (5%) of the aggregate number of shares of Class A Common Stock and Class B Common Stock then outstanding, (iii) the date and time, or the occurrence of an event, specified in a written conversion election delivered by KR Sridhar to the Secretary or Chairman of the Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.
The RSU will vest 100% at the end of lock-up period and during an open trading window, subject to the reporting person's continuous service with the Issuer through the vesting date.
/s/Shawn Soderberg, attorney-in-fact
2018-07-31