0000950103-18-013761.txt : 20181128 0000950103-18-013761.hdr.sgml : 20181128 20181128194208 ACCESSION NUMBER: 0000950103-18-013761 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181123 FILED AS OF DATE: 20181128 DATE AS OF CHANGE: 20181128 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MORGAN STANLEY CENTRAL INDEX KEY: 0000895421 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38598 FILM NUMBER: 181206786 BUSINESS ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212-761-4000 MAIL ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 FORMER NAME: FORMER CONFORMED NAME: MORGAN STANLEY DEAN WITTER & CO DATE OF NAME CHANGE: 19980326 FORMER NAME: FORMER CONFORMED NAME: DEAN WITTER DISCOVER & CO DATE OF NAME CHANGE: 19960315 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 3 1 dp98723_3-morgan.xml FORM 3 X0206 3 2018-11-23 0 0001664703 Bloom Energy Corp BE 0000895421 MORGAN STANLEY 1585 BROADWAY NEW YORK NY 10036 0 0 1 0 Class A Common Stock 1669 I By subsidiary Class B Common Stock 0.00 Class A Common Stock 3615315 I By subsidiary Call Option (right to buy) 12.50 2018-12-21 Class A Common Stock 100 I By subsidiary Call Option (right to buy) 15.00 2018-12-21 Class A Common Stock 1500 I By subsidiary Put Option (right to sell) 15.00 2018-12-21 Class A Common Stock 100 I By subsidiary Call Option (right to buy) 20.00 2019-02-15 Class A Common Stock 800 I By subsidiary Call Option (right to buy) 25.00 2019-02-15 Class A Common Stock 13700 I By subsidiary Call Option (right to buy) 15.00 2019-02-15 Class A Common Stock 300 I By subsidiary Put Option (right to sell) 15.00 2019-02-15 Class A Common Stock 1100 I By subsidiary Put Option (right to sell) 17.50 2019-02-15 Class A Common Stock 1700 I By subsidiary Call Option (right to buy) 30.00 2019-05-17 Class A Common Stock 100 I By subsidiary Call Option (right to buy) 35.00 2019-05-17 Class A Common Stock 2700 I By subsidiary Put Option (right to sell) 15.00 2019-05-17 Class A Common Stock 2800 I By subsidiary Put Option (right to sell) 17.50 2019-05-17 Class A Common Stock 100 I By subsidiary Put Option (obligation to buy) 10.00 2018-12-21 Class A Common Stock 3100 I By subsidiary Call Option (obligation to sell) 22.50 2019-02-15 Class A Common Stock 8600 I By subsidiary Call Option (obligation to sell) 45.00 2019-02-15 Class A Common Stock 600 I By subsidiary Put Option (obligation to buy) 30.00 2019-02-15 Class A Common Stock 1600 I By subsidiary Call Option (obligation to sell) 25.00 2019-05-17 Class A Common Stock 1900 I By subsidiary Call Option (obligation to sell) 40.00 2019-05-17 Class A Common Stock 1000 I By subsidiary Call Option (obligation to sell) 22.50 2018-12-21 Class A Common Stock 100 I By subsidiary Call Option (obligation to sell) 25.00 2018-12-21 Class A Common Stock 700 I By subsidiary Subject to the terms of the applicable lock-up agreement, the shares of Class B Common Stock are convertible into Class A Common Stock upon the election of the reporting person at any time. 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 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 of Directors of the Issuer to so convert all shares of Class B Common Stock or (iv) immediately following the date of the death of KR Sridhar. Exercisable by the reporting person at any time. Exercisable by the holder at any time. /s/ Christina Huffman, Authorized Signatory 2018-11-28