0001209191-20-059757.txt : 20201120 0001209191-20-059757.hdr.sgml : 20201120 20201120180747 ACCESSION NUMBER: 0001209191-20-059757 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201117 FILED AS OF DATE: 20201120 DATE AS OF CHANGE: 20201120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sridhar KR CENTRAL INDEX KEY: 0001746277 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38598 FILM NUMBER: 201333725 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 FISCAL YEAR END: 1231 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 2020-11-17 0 0001664703 Bloom Energy Corp BE 0001746277 Sridhar KR 4353 NORTH FIRST STREET SAN JOSE CA 95134 1 1 0 0 President & CEO Class A Common Stock 2020-11-18 4 C 0 326288 0.00 A 768383 D Class A Common Stock 2020-11-18 4 C 0 111493 0.00 A 879876 D Class A Common Stock 2020-11-18 4 S 0 452299 19.2295 D 427577 D Class B Common Stock 2020-09-11 4 G 0 133333 0.00 D Class A Common Stock 133333 1308516 D Class B Common Stock 2020-09-11 4 G 0 133333 0.00 D Class A Common Stock 133333 1175183 D Class B Common Stock 2020-09-11 4 G 0 133334 0.00 D Class A Common Stock 133334 1041849 D Class B Common Stock 2020-09-11 4 G 0 133333 0.00 A Class A Common Stock 133333 133333 I By trust Class B Common Stock 2020-09-11 4 G 0 133333 0.00 A Class A Common Stock 133333 133333 I By trust Class B Common Stock 2020-09-11 4 G 0 133334 0.00 A Class A Common Stock 133334 133334 I By trust Restricted Stock Units 2020-11-17 4 M 0 620988 0.00 D Class B Common Stock 620988 0 D Class B Common Stock 2020-11-17 4 M 0 620988 0.00 A Class A Common Stock 620988 1688223 D Restricted Stock Units 2020-11-17 4 M 0 212191 0.00 D Class B Common Stock 212191 0 D Class B Common Stock 2020-11-17 4 M 0 212191 0.00 A Class A Common Stock 212191 1900414 D Class B Common Stock 2020-11-18 4 C 0 326288 0.00 D Class A Common Stock 326288 1574126 D Class B Common Stock 2020-11-18 4 C 0 111493 0.00 D Class A Common Stock 111493 1462633 D 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 represents the weighted average sale price per share. These shares were sold in multiple transactions at prices ranging from $18.75 to $20.02 per share. Upon request by the staff of the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price. The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except certain permitted transfers. All the outstanding shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the date that is the earliest to occur of (i) immediately prior to the close of business on the fifth anniversary of July 27, 2018, (ii) immediately prior to the close of business on the date on which the outstanding shares of Class B Common Stock represent less than five percent (5%) of the aggregate number of shares of Class A Common Stock and Class B Common Stock then outstanding, (iii) the date and time, or the occurrence of an event, specified in a written conversion election delivered by KR Sridhar to the Secretary of the Issuer or Chairman of the Issuer's Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar. Held by the KR Sridhar & Sudha Sarma 2020 Two Year GRAT, of which the Reporting Person is a trustee. Held by the KR Sridhar & Sudha Sarma 2020 Three Year GRAT, of which the Reporting Person is a trustee. Held by the KR Sridhar & Sudha Sarma 2020 Four Year GRAT, of which the Reporting Person is a trustee. Each RSU represents a contingent right to receive one (1) share of the Issuer's Class B Common Stock upon settlement. These RSU's will vest on the first allowable trading day following the one-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. Includes a total of 25,386 shares transferred from the Reporting Person's Grantor Retained Annuity Trusts. The RSU will vest 50% at the end of lock-up period and during an open trading window and the remaining 50% will vest on the first allowable trading date following the one-year anniversary of July 27, 2018, subject to the Company's Insider Trading Policy and trading window and to the Reporting Person's continued service with the Issuer through each vesting date. /s/ Shawn Soderberg, as attorney-in-fact 2020-11-20