0001209191-21-012890.txt : 20210222 0001209191-21-012890.hdr.sgml : 20210222 20210222184630 ACCESSION NUMBER: 0001209191-21-012890 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210218 FILED AS OF DATE: 20210222 DATE AS OF CHANGE: 20210222 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: 21662162 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 2021-02-18 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 2021-02-18 4 C 0 5109 0.00 A 160228 D Stock Option (Right to Buy Class B Common Stock) 15.00 2021-02-18 4 M 0 5109 0.00 D 2028-07-23 Class B Common Stock 5109 88880 D Class B Common Stock 2021-02-18 4 C 0 5109 0.00 A Class A Common Stock 5109 0 D The option vests in three equal annual installments commencing on the second-year anniversary of July 24, 2018, followed by the third and fourth anniversaries, so that the entire grant is full vested on the 4th year anniversary of July 24, 2018, subject to the reporting person's continued service through each vesting date. The Class B Common Stock is convertible into Class A Common Stock of the Issuer on a 1-for-1 basis (a) at the option of the holder; 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. /s/ Shawn Soderberg, as attorney-in-fact 2021-02-22