0001209191-19-021499.txt : 20190327 0001209191-19-021499.hdr.sgml : 20190327 20190327193403 ACCESSION NUMBER: 0001209191-19-021499 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190325 FILED AS OF DATE: 20190327 DATE AS OF CHANGE: 20190327 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: 19709581 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: 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 2019-03-25 0 0001664703 Bloom Energy Corp BE 0001746127 Venkataraman Swaminathan 4353 NORTH FIRST STREET SAN JOSE CA 95134 0 1 0 0 EVP of Engineering and CTO Class A Common Stock 2019-03-25 4 C 0 1868 0.00 A 57418 D Class A Common Stock 2019-03-26 4 S 0 915 11.9613 D 56503 D Class A Common Stock 2019-03-25 4 C 0 8888 0.00 A 65391 D Class A Common Stock 2019-03-26 4 S 0 3040 11.9613 D 62351 D Class A Common Stock 2019-03-25 4 C 0 14538 0.00 A 76889 D Class A Common Stock 2019-03-26 4 S 0 4949 11.9613 D 71940 D Class A Common Stock 2019-03-25 4 C 0 91712 0.00 A 163652 D Class A Common Stock 2019-03-26 4 S 0 44972 11.9613 D 118680 D Class A Common Stock 2019-03-25 4 C 0 53334 0.00 A 118680 D Class A Common Stock 343334 I The Venkataraman Living Trust dated June 8, 2011 Restricted Stock Unit (RSU)(Class B Common Stock) 2019-03-25 4 M 0 1868 0.00 D Class B Common Stock 1868 0 D Class B Common Stock 2019-03-25 4 M 0 1868 0.00 A Class A Common Stock 1868 1868 D Class B Common Stock 2019-03-25 4 C 0 1868 0.00 D Class A Common Stock 1868 0 D Restricted Stock Unit (RSU)(Class B Common Stock) 2019-03-25 4 M 0 8888 0.00 D Class B Common Stock 8888 17776 D Class B Common Stock 2019-03-25 4 M 0 8888 0.00 A Class A Common Stock 8888 8888 D Class B Common Stock 2019-03-25 4 C 0 8888 0.00 D Class A Common Stock 8888 0 D Restricted Stock Unit (RSU)(Class B Common Stock) 2019-03-25 4 M 0 14538 0.00 D Class B Common Stock 14538 29076 D Class B Common Stock 2019-03-25 4 M 0 14538 0.00 A Class A Common Stock 14538 14538 D Class B Common Stock 2019-03-25 4 C 0 14538 0.00 D Class A Common Stock 14538 0 D Restricted Stock Unit (RSU)(Class B Common Stock) 2019-03-25 4 M 0 91712 0.00 D Class B Common Stock 91712 275135 D Class B Common Stock 2019-03-25 4 M 0 91712 0.00 A Class A Common Stock 91712 91712 D Class B Common Stock 2019-03-25 4 C 0 91712 0.00 D Class A Common Stock 91712 0 D Stock Option (Right to Buy Class B Common Stock) 3.87 2019-03-25 4 M 0 53334 0.00 D 2019-06-11 Class B Common Stock 53334 0 D Class B Common Stock 2019-03-25 4 M 0 53334 0.00 A Class A Common Stock 53334 53334 D Class B Common Stock 2019-03-25 4 C 0 53334 0.00 D Class A Common Stock 53334 0 D Conversion of a derivative security pursuant to its terms. Sale of shares to satisfy tax withholding obligation. Such sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 5, 2018. This transaction was executed in multiple trades at prices ranging from $11.70 to $12.40. The price reported above reflects the weighted average sales price. Includes 53,334 shares previously held directly by the reporting person. Each RSU represents a contingent right to receive 1 share of the issuer's Class B Common Stock upon settlement. Delivery of such shares which vested on January 25, 2019 was deferred by the reporting person until March 25, 2019. 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. The option is fully vested. /s/Shawn Soderberg, attorney-in-fact 2019-03-27