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