0001209191-19-059397.txt : 20191205
0001209191-19-059397.hdr.sgml : 20191205
20191205195436
ACCESSION NUMBER: 0001209191-19-059397
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191203
FILED AS OF DATE: 20191205
DATE AS OF CHANGE: 20191205
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FURR RANDY W
CENTRAL INDEX KEY: 0001245699
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38598
FILM NUMBER: 191271496
MAIL ADDRESS:
STREET 1: C/O SMART MODULAR TECHNOLOGIES, INC.
STREET 2: 39870 EUREKA DRIVE
CITY: NEWARK
STATE: CA
ZIP: 94560
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/A
1
doc4a.xml
FORM 4/A SUBMISSION
X0306
4/A
2019-12-03
2019-12-05
0
0001664703
Bloom Energy Corp
BE
0001245699
FURR RANDY W
4353 NORTH FIRST STREET
SAN JOSE
CA
95134
0
1
0
0
EVP and CFO
Class A common stock
2019-12-03
4
C
0
93334
0.00
A
242231
D
Class A common stock
2019-12-03
4
M
0
98684
0.00
A
340915
D
Class A common stock
2019-12-04
4
S
0
100044
5.7208
D
240871
D
Restricted stock units (Class B common stock)
2019-12-03
4
M
0
40000
0.00
D
2028-07-24
Class B common stock
40000
40000
D
Class B common stock
2019-12-03
4
M
0
40000
0.00
A
Class A common stock
40000
40000
D
Class B common stock
2019-12-03
4
C
0
40000
0.00
D
Class A common stock
40000
0
D
Restricted stock units (Class B common stock)
2019-12-03
4
M
0
53334
0.00
D
2028-07-24
Class B common stock
53334
0
D
Class B common stocki
2019-12-03
4
M
0
53334
0.00
A
Class A common stock
53334
53334
D
Class B common stock
2019-12-03
4
C
0
53334
0.00
D
Class A common stock
53334
0
D
Restricted stock units (Class A common stock)
2019-12-03
4
M
0
98684
0.00
D
2028-07-27
Class A common stock
98684
197367
D
Conversion of a derivative security pursuant to its terms.
Includes 1,105 shares acquired under the Bloom Energy Corporation Employee Stock Purchase Plan on August 14, 2019.
Sales of shares to satisfy tax withholding obligations incurred in connection with the vesting of restricted stock units. Such sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 13, 2019.
This transaction was executed in multiple trades at prices ranging from $5.42 to $6.4199. The price reported above reflects the weighted average sales price. 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 RSU represents a contingent right to receive 1 share of the issuer's Class B Common Stock upon settlement.
The RSU's will vest on the first allowable trading date following July 24, 2020, subject to the Company's Insider Trading Policy and trading window and to the reporting person's continued service through the 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.
Delivery of shares that vested on July 25, 2019 was deferred by the reporting person until December 3, 2019.
Each RSU represents a contingent right to receive 1 share of the issuer's Class A common stock.
The RSU vests over two years at six month intervals from July 27, 2018 and during an open trading window, subject to the reporting person's continuous service with the Issuer through each vesting date.
Shawn Soderberg as attorney in fact for the reporting person
2019-12-05