0001209191-20-043907.txt : 20200728 0001209191-20-043907.hdr.sgml : 20200728 20200728205343 ACCESSION NUMBER: 0001209191-20-043907 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200725 FILED AS OF DATE: 20200728 DATE AS OF CHANGE: 20200728 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: 201055314 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 2020-07-25 0 0001664703 Bloom Energy Corp BE 0001746127 Venkataraman Swaminathan 4353 NORTH FIRST STREET SAN JOSE CA 95134 0 1 0 0 EVP & CTO Class A Common Stock 2020-07-25 4 M 0 91711 0.00 A 238289 D Class A Common Stock 2020-07-27 4 C 0 33333 0.00 A 272622 D Class A Common Stock 2020-07-28 4 S 0 68074 15.2671 D 204548 D Class A Common Stock 2020-07-28 4 S 0 700 15.9686 D 203848 D Class A Common Stock 170000 I The Venkataraman Living Trust dated June 8, 2011 Restricted Stock Units (RSU) 2020-07-25 4 M 0 33333 0.00 D Class B common stock 33333 0 D Class B Common Stock 2020-07-25 4 M 0 33333 0.00 A Class A Common Stock 33333 33333 D Restricted Stock Units (RSU) 2020-07-25 4 M 0 91711 0.00 D Class A Common Stock 91711 0 D Class B Common Stock 2020-07-27 4 C 0 33333 0.00 D Class A Common Stock 33333 0 D 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. Sales of shares to satisfy tax withholding obligations incurred in connection with the settlement of vested restricted stock units. Such sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $14.92 to $15.89, 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 in footnote (3) and (4). The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $15.92 to $16.01, inclusive. Each RSU represents a contingent right to receive one (1) share of the Issuer's Class B Common Stock upon settlement. The RSUs 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. The RSUs vest 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. /s/ Shawn Soderberg, attorney-in-fact 2020-07-28