0001209191-21-005782.txt : 20210127 0001209191-21-005782.hdr.sgml : 20210127 20210127203030 ACCESSION NUMBER: 0001209191-21-005782 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210125 FILED AS OF DATE: 20210127 DATE AS OF CHANGE: 20210127 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: 21561647 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 2021-01-25 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 2021-01-26 4 C 0 8888 0.00 A 152334 D Class A Common Stock 2021-01-26 4 C 0 14538 0.00 A 166872 D Class A Common Stock 2021-01-26 4 S 0 11499 38.9197 D 155373 D Class A Common Stock 2021-01-27 4 S 0 11927 39.4673 D 143446 D Restricted Stock Units 2021-01-25 4 M 0 8888 0.00 D Class B Common Stock 8888 0 D Class B Common Stock 2021-01-25 4 M 0 8888 0.00 A Class A Common Stock 8888 8888 D Restricted Stock Units 2021-01-25 4 M 0 14538 0.00 D Class B Common Stock 14538 0 D Class B Common Stock 2021-01-25 4 M 0 14538 0.00 A Class A Common Stock 14538 23426 D Class B Common Stock 2021-01-26 4 C 0 8888 0.00 D Class A Common Stock 8888 14538 D Class B Common Stock 2021-01-26 4 C 0 14538 0.00 D Class A Common Stock 14538 0 D Sale of shares to cover taxes incurred upon vesting of restricted stock units (the "RSUs"), in accordance with 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 $38.08 to $39.8097 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. Sale of shares were effected pursuant to a Rule 10b5-1 trading plan 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 $37.33 to $41.45 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. Each RSU represents a contingent right to receive one (1) share of Class B Common Stock of the Issuer upon settlement. The RSUs vested 34% on January 25, 2019 and the remaining RSUs vested in two equal installments on each of January 25, 2020 and January 25, 2021. The Class B Common Stock is convertible into Class A Common Stock of the the Issuer 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 5th 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 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 Board of the Issuer to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar. The RSUs vested 34% on January 25, 2019 and the remaining RSUs vested in two equal installments on each of January 25, 2020 and January 25, 2021. /s/ Shawn Soderberg, as attorney-in-fact 2021-01-27