0000950103-18-013761.txt : 20181128
0000950103-18-013761.hdr.sgml : 20181128
20181128194208
ACCESSION NUMBER: 0000950103-18-013761
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181123
FILED AS OF DATE: 20181128
DATE AS OF CHANGE: 20181128
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MORGAN STANLEY
CENTRAL INDEX KEY: 0000895421
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38598
FILM NUMBER: 181206786
BUSINESS ADDRESS:
STREET 1: 1585 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: 212-761-4000
MAIL ADDRESS:
STREET 1: 1585 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10036
FORMER NAME:
FORMER CONFORMED NAME: MORGAN STANLEY DEAN WITTER & CO
DATE OF NAME CHANGE: 19980326
FORMER NAME:
FORMER CONFORMED NAME: DEAN WITTER DISCOVER & CO
DATE OF NAME CHANGE: 19960315
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
BUSINESS ADDRESS:
STREET 1: 1299 ORLEANS DRIVE
CITY: SUNNYVALE
STATE: CA
ZIP: 94089
BUSINESS PHONE: 408-543-1500
MAIL ADDRESS:
STREET 1: 1299 ORLEANS DRIVE
CITY: SUNNYVALE
STATE: CA
ZIP: 94089
3
1
dp98723_3-morgan.xml
FORM 3
X0206
3
2018-11-23
0
0001664703
Bloom Energy Corp
BE
0000895421
MORGAN STANLEY
1585 BROADWAY
NEW YORK
NY
10036
0
0
1
0
Class A Common Stock
1669
I
By subsidiary
Class B Common Stock
0.00
Class A Common Stock
3615315
I
By subsidiary
Call Option (right to buy)
12.50
2018-12-21
Class A Common Stock
100
I
By subsidiary
Call Option (right to buy)
15.00
2018-12-21
Class A Common Stock
1500
I
By subsidiary
Put Option (right to sell)
15.00
2018-12-21
Class A Common Stock
100
I
By subsidiary
Call Option (right to buy)
20.00
2019-02-15
Class A Common Stock
800
I
By subsidiary
Call Option (right to buy)
25.00
2019-02-15
Class A Common Stock
13700
I
By subsidiary
Call Option (right to buy)
15.00
2019-02-15
Class A Common Stock
300
I
By subsidiary
Put Option (right to sell)
15.00
2019-02-15
Class A Common Stock
1100
I
By subsidiary
Put Option (right to sell)
17.50
2019-02-15
Class A Common Stock
1700
I
By subsidiary
Call Option (right to buy)
30.00
2019-05-17
Class A Common Stock
100
I
By subsidiary
Call Option (right to buy)
35.00
2019-05-17
Class A Common Stock
2700
I
By subsidiary
Put Option (right to sell)
15.00
2019-05-17
Class A Common Stock
2800
I
By subsidiary
Put Option (right to sell)
17.50
2019-05-17
Class A Common Stock
100
I
By subsidiary
Put Option (obligation to buy)
10.00
2018-12-21
Class A Common Stock
3100
I
By subsidiary
Call Option (obligation to sell)
22.50
2019-02-15
Class A Common Stock
8600
I
By subsidiary
Call Option (obligation to sell)
45.00
2019-02-15
Class A Common Stock
600
I
By subsidiary
Put Option (obligation to buy)
30.00
2019-02-15
Class A Common Stock
1600
I
By subsidiary
Call Option (obligation to sell)
25.00
2019-05-17
Class A Common Stock
1900
I
By subsidiary
Call Option (obligation to sell)
40.00
2019-05-17
Class A Common Stock
1000
I
By subsidiary
Call Option (obligation to sell)
22.50
2018-12-21
Class A Common Stock
100
I
By subsidiary
Call Option (obligation to sell)
25.00
2018-12-21
Class A Common Stock
700
I
By subsidiary
Subject to the terms of the applicable lock-up agreement, the shares of Class B Common Stock are convertible into Class A Common Stock upon the election of the reporting person at any time. 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 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 Directors 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.
Exercisable by the reporting person at any time.
Exercisable by the holder at any time.
/s/ Christina Huffman, Authorized Signatory
2018-11-28