0001209191-20-005568.txt : 20200130 0001209191-20-005568.hdr.sgml : 20200130 20200130165853 ACCESSION NUMBER: 0001209191-20-005568 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200128 FILED AS OF DATE: 20200130 DATE AS OF CHANGE: 20200130 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SODERBERG SHAWN MARIE CENTRAL INDEX KEY: 0001591851 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38598 FILM NUMBER: 20562121 MAIL ADDRESS: STREET 1: 1000 ALFRED NOBEL DRIVE CITY: HERCULES STATE: CA ZIP: 94547 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 2020-01-28 0 0001664703 Bloom Energy Corp BE 0001591851 SODERBERG SHAWN MARIE 4353 NORTH FIRST STREET SAN JOSE CA 95134 0 1 0 0 EVP, GC & Secretary Class A common stock 2020-01-28 4 C 0 13333 0.00 A 184333 D Class A common stock 2020-01-28 4 C 0 6666 0.00 A 190999 D Class A common stock 2020-01-28 4 M 0 39893 0.00 A 230892 D Class A common stock 2020-01-29 4 S 0 19245 8.3342 D 211647 D Restricted stock units (Class B common stock) 2020-01-28 4 M 0 13333 0.00 D 2026-10-03 Class B common stock 13333 6666 D Class B common stock 2020-01-28 4 M 0 13333 0.00 A Class A common stock 13333 13333 D Class B common stock 2020-01-28 4 C 0 13333 0.00 D Class A common stock 13333 0 D Restricted stock units (Class B common stock) 2020-01-28 4 M 0 6666 0.00 D 2026-01-14 Class B common stock 6666 0 D Class B common stock 2020-01-28 4 M 0 6666 0.00 A Class A common stock 6666 6666 D Class B common stock 2020-01-28 4 C 0 6666 0.00 D Class A common stock 6666 0 D Restricted stock units (Class A common stock) 2020-01-28 4 M 0 39893 0.00 D 2028-08-01 Class A common stock 39893 39893 D Conversion of a derivative security pursuant to its terms. Delivery of the shares in settlement of the vested RSUs was deferred to January 28, 2020. Sales of shares to cover tax withholding obligation incurred upon settlement of RSUs, pursuant to a Rule 10b5-1 trading entered into by reporting person. Proceeds of sales were tendered to the issuer for payment to the applicable taxing authorities. The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $8.13 to $8.46, inclusive. 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. The RSUs vest 34% on January 25, 2019 and the remaining in two equal installments on January 25, 2020 and 2021. 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. These RSUs vest 50% on January 25, 2019 and 50% on January 25, 2020. Each RSU represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement. The RSUs vest in equal installments every six months over two years from July 25, 2018, the date of grant. Shawn Soderberg 2020-01-30