0001209191-18-044118.txt : 20180726 0001209191-18-044118.hdr.sgml : 20180726 20180726213325 ACCESSION NUMBER: 0001209191-18-044118 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180724 FILED AS OF DATE: 20180726 DATE AS OF CHANGE: 20180726 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brennan Susan Seilheimer CENTRAL INDEX KEY: 0001745993 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38598 FILM NUMBER: 18973089 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: 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 2018-07-24 0 0001664703 Bloom Energy Corp BE 0001745993 Brennan Susan Seilheimer 1299 ORLEANS DRIVE SUNNYVALE CA 94089 0 1 0 0 EVP and COO Stock Option (Right to Buy Class B Common Stock) 15.00 2018-07-24 4 A 0 20000 0.00 A 2028-07-23 Class B Common Stock 20000 20000 D Stock Option (Right to Buy Class B Common Stock) 15.00 2018-07-24 4 A 0 100000 0.00 A 2028-07-23 Class B Common Stock 100000 100000 D Restricted Stock Unit (RSU) (Class B Common Stock) 2018-07-24 4 A 0 46667 0.00 A Class B Common Stock 46667 46667 D Restricted Stock Unit (RSU)(Class B Common Stock 2018-07-24 4 A 0 33334 0.00 A Class B Common Stock 33334 33334 D Restricted Stock Units (RSU) (Class B Common Stock) 2018-07-24 4 A 0 209267 0.00 A Class B Common Stock 209267 209267 D The option will vest at the rate of 50% on the one year anniversary of July 24, 2018, and the remaining 50% on the second year anniversary of such date, subject to the reporting person's continued service 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 the closing of Issuer's IPO, (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 option will vest in three equal annual installments commencing on the second year anniversary of July 24, 2018, followed by the third and fourth anniversaries, so that the entire grant is fully vested on the 4th year anniversary of July 24, 2018, subject to the reporting person's continued service through each vesting date. Each RSU represents a contingent right to receive 1 share of the issuer's Class B Common Stock upon settlement. RSU's will vest 50% on the first allowable trading date following the one-year anniversary of July 24, 2018, and the remaining 50% to vest on the first allowable trading date following the second-year anniversary of July 24, 2018, subject to the Company's Insider Trading Policy and trading window and to the reporting person's continued service through each vesting date. These RSU's will vest on the first allowable trading day following the one year anniversary of July 24, 2018, subject to the Company's Insider Trading Policy and trading window and to the reporting person's continued service through each vesting date. These RSU's will vest over two years at 6 month intervals from the end of lock-up and during an open trading window, subject to the reporting person's continued service through each vesting date. /s/Shawn Soderberg, attorney-in-fact 2018-07-26