0001209191-20-005266.txt : 20200128 0001209191-20-005266.hdr.sgml : 20200128 20200128212911 ACCESSION NUMBER: 0001209191-20-005266 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200125 FILED AS OF DATE: 20200128 DATE AS OF CHANGE: 20200128 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: 20556189 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 2020-01-25 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 comon stock 2020-01-25 4 C 0 8888 0.00 A 185244 D Class A common stock 2020-01-25 4 C 0 14538 0.00 A 199782 D Class A common stock 2020-01-25 4 M 0 91712 0.00 A 291494 D Class A common stock 2020-01-27 4 S 0 44665 8.3978 D 246829 D Class A common stock 389146 I By trust Restricted stock units (Class B common stock) 2020-01-25 4 M 0 8888 0.00 D 2026-10-03 Class B common stock 8888 8888 D Class B common stock 2020-01-25 4 M 0 8888 0.00 A Class A common stock 8888 8888 D Class B common stock 2020-01-25 4 C 0 8888 0.00 D Class A common stock 8888 0 D Restricted stock units (Class B common stock) 2020-01-25 4 M 0 14538 0.00 D 2026-05-05 Class B common stock 14538 14538 D Class B common stock 2020-01-25 4 M 0 14538 0.00 A Class A common stock 14538 14538 D Class B common stock 2020-01-25 4 C 0 14538 0.00 D Class A common stock 14538 0 D Restricted Stock Units (Class A common stock) 2020-01-25 4 M 0 91712 0.00 D 2028-08-01 Class A common stock 91712 91711 D Conversion of a derivative security pursuant to its terms. Sale of shares to cover taxes incurred as a result of the vesting of the RSUs, in accordance with 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 ranging from $8.09 to $8.77, 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. Held by The Venkataraman Living Trust UTA dtd 6/8/2011 of which the reporting person is a trustee. Each RSU represents a contingent right to receive 1 share of the issuer's Class B Common Stock upon settlement. The RSUs vest 34% on January 25, 2019 and the remaining RSUs vest in two equal installments on each of January 25, 2020 and January 25, 2021. 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. Each RSU represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement. The RSUs vest in equal installments every six months over two years from July 25, 2018, the date of grant. By Shawn Soderberg as attorney in fact 2020-01-28