0001664703-21-000198.txt : 20211220
0001664703-21-000198.hdr.sgml : 20211220
20211220210912
ACCESSION NUMBER: 0001664703-21-000198
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211216
FILED AS OF DATE: 20211220
DATE AS OF CHANGE: 20211220
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: 211506684
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
wf-form4_164005253910929.xml
FORM 4
X0306
4
2021-12-16
0
0001664703
Bloom Energy Corp
BE
0001746127
Venkataraman Swaminathan
4353 NORTH FIRST STREET
SAN JOSE
CA
95134
0
1
0
0
EVP of Engineering & CTO
Class A Common Stock
2021-12-16
4
S
0
4166
22.961
D
99912
D
Class A Common Stock
2021-12-16
4
M
0
6666
0
A
106578
D
Class A Common Stock
36554
I
By trust
Stock Option (Right to Buy Class B Common Stock)
15.0
2021-12-16
4
M
0
6666
0
D
2028-07-23
Class B Common Stock
6666.0
82214
D
Class B Common Stock
2021-12-16
4
C
0
6666
0
A
Class A Common Stock
6666.0
0
D
Sale of shares to cover tax withholding obligation incurred upon settlement of the restricted stock units 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. The shares were sold in multiple transactions at prices ranging from $22.79 to $23.03. Upon request by the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
Held by The Venkataraman Living Trust UTA dtd 6/8/2011, of which the Reporting Person is a trustee.
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 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 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 M. Soderberg, as attorney-in-fact
2021-12-20