Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-18-044124
Date:2018-07-24
Issuer: BLOOM ENERGY CORP (BE)
Original Submission Date:

Reporting Person:

THAYER WILLIAM
1299 ORLEANS DRIVE
SUNNYVALE, CA 94089

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY CLASS B COMMON STOCK) 15.0 2028-07-24 deemed execution date A 20,000 (a) 2028-07-23 class b common stock 20,000 $15.00 20,000 direct
STOCK OPTION (RIGHT TO BUY CLASS B COMMON STOCK) 15.0 2028-07-24 deemed execution date A 44,445 (a) 2028-07-23 class b common stock 44,445 $15.00 44,445 direct
RESTRICTED STOCK UNIT (RSU) (CLASS B COMMON STOCK) 0.0 2028-07-24 deemed execution date A 40,000 (a) class b common stock 40,000 $0.00 40,000 direct
RESTRICTED STOCK UNIT (RSU)(CLASS B COMMON STOCK 0.0 2028-07-24 deemed execution date A 22,222 (a) class b common stock 22,222 $0.00 22,222 direct
RESTRICTED STOCK UNITS (RSU) (CLASS B COMMON STOCK) 0.0 2028-07-24 deemed execution date A 128,830 (a) class b common stock 128,830 $0.00 128,830 direct
Footnotes
IDfootnote
f1 the option will vest at the rate of 50% on the one year anniversary of july 24, 2018, and the remaining 50% on the second year anniversary of such date, subject to the reporting person's continued service through each vesting date.
f2 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 the closing of issuer's ipo, (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 or chairman of the board to so convert all shares of class b common stock, or (iv) immediately following the date of the death of kr sridhar.
f3 the option will vest 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.
f4 each rsu represents a contingent right to receive 1 share of the issuer's class b common stock upon settlement.
f5 rsu's will vest 50% on the first allowable trading date following the one-year anniversary of july 24, 2018, and the remaining 50% to vest on the first allowable trading date following the second-year anniversary of july 24, 2018, subject to the company's insider trading policy and trading window and to the reporting person's continued service through each vesting date.
f6 these rsu's will vest on the first allowable trading day following the one year anniversary of july 24, 2018, subject to the company's insider trading policy and trading window and to the reporting person's continued service through each vesting date
f7 these rsu's will vest over two years at 6 month intervals from july 24, 2018, subject to the reporting person's continued service through each vesting date.
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