0001209191-18-044640.txt : 20180731 0001209191-18-044640.hdr.sgml : 20180731 20180731203719 ACCESSION NUMBER: 0001209191-18-044640 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: Venkataraman Swaminathan CENTRAL INDEX KEY: 0001746127 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38598 FILM NUMBER: 18982623 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 2018-07-27 0 0001664703 Bloom Energy Corp BE 0001746127 Venkataraman Swaminathan 1299 ORLEANS DRIVE SUNNYVALE CA 94089 0 1 0 0 EVP of Engineering and CTO Restricted Stock Units (RSU)(Class B Common Stock) 2018-07-27 4 A 0 26664 0.00 A Class B Common Stock 26664 26664 D Restricted Stock Units (RSU) (Class B Common Stock) 2018-07-27 4 A 0 1868 0.00 A Class B Common Stock 1868 1868 D Restricted Stock Unit (RSU) (Class B Common Stock) 2018-07-27 4 A 0 43614 0.00 A Class B Common Stock 43614 43614 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