0001209191-21-005921.txt : 20210128 0001209191-21-005921.hdr.sgml : 20210128 20210128183803 ACCESSION NUMBER: 0001209191-21-005921 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210125 FILED AS OF DATE: 20210128 DATE AS OF CHANGE: 20210128 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SODERBERG SHAWN MARIE CENTRAL INDEX KEY: 0001591851 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38598 FILM NUMBER: 21567183 MAIL ADDRESS: STREET 1: 1000 ALFRED NOBEL DRIVE CITY: HERCULES STATE: CA ZIP: 94547 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 0001591851 SODERBERG SHAWN MARIE 4353 NORTH FIRST STREET SAN JOSE CA 951243 0 1 0 0 EVP, GC & Secretary Class A Common Stock 2021-01-26 4 C 0 6666 0.00 A 340961 D Class A Common Stock 2021-01-26 4 S 0 2375 40.2734 D 338586 D Restricted Stock Units 2021-01-25 4 M 0 6666 0.00 D Class B Common Stock 6666 0 D Class B Common Stock 2021-01-25 4 M 0 6666 0.00 A Class A Common Stock 6666 6666 D Class B Common Stock 2021-01-26 4 C 0 6666 0.00 D Class A Common Stock 6666 0 D Sales of shares to satisfy tax withholding obligations incurred in connection with the settlement of vested restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one (1) share of the Issuer's Class B Common Stock 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 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. /s/ Shawn Soderberg 2021-01-27