0001209191-19-052839.txt : 20191009 0001209191-19-052839.hdr.sgml : 20191009 20191009175818 ACCESSION NUMBER: 0001209191-19-052839 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191007 FILED AS OF DATE: 20191009 DATE AS OF CHANGE: 20191009 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: 191145010 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 2019-10-07 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 2019-10-07 4 M 0 73227 0.00 A 155797 D Class A common stock 2019-10-07 4 C 0 20000 0.00 A 175797 D Class A common stock 2019-10-08 4 S 0 4797 3.1135 D 171000 D Restricted Stock Units (Class A common stock) 2019-10-07 4 M 0 39893 0.00 D 2028-08-01 Class A common stock 39893 79786 D Restricted Stock Units (Class A common stock) 2019-10-07 4 M 0 33334 0.00 D 2019-07-24 2028-08-10 Class A common stock 33334 0 D Restricted stock units (Class B common stock) 2019-10-07 4 M 0 20000 0.00 D 2028-07-24 Class B common stock 20000 20000 D Class B common stock 2019-10-07 4 M 0 20000 0.00 A Class B common stock 20000 20000 D Class B common stock 2019-10-07 4 C 0 20000 0.00 D Class A common stock 20000 0 D Delivery of such shares which vested as noted was deferred by the reporting person until October 7, 2019. Includes 1,105 shares issued in connection with the reporting person's participation in the issuer's Employee Stock Purchase Plan. Conversion of derivative security in accordance with its terms. Sale of shares pursuant to a Rule 10b5-1 trading plan entered into by reporting person The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.06 to $3.18, 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 Class A common stock RSU represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement. The RSU vests over two years at six month intervals from July 24, 2018 and during an open trading window, subject to the reporting person's continuous service with the Issuer through each vesting date. Each Class B common stock RSU represents a contingent right to receive 1 share of the Issuer's Class B Common Stock upon settlement. The 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. 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. Shawn Soderberg 2019-10-09