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