Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-20-044342
Date:2020-07-29
Issuer: BLOOM ENERGY CORP (BE)
Original Submission Date:

Reporting Person:

SODERBERG SHAWN MARIE
4353 NORTH FIRST STREET
SAN JOSE, CA 951243

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
CLASS A COMMON STOCK 2020-07-29 M 39,893 a $0.00 327,744 direct
CLASS A COMMON STOCK 2020-07-30 C 20,000 a $0.00 347,744 direct
CLASS A COMMON STOCK 2020-07-30 S 28,029 d $12.67 319,715 direct
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
RESTRICTED STOCK UNITS (RSU) 0.0 2020-07-29 deemed execution date M 20,000 (d) class b common stock 20,000 $0.00 0 direct
CLASS B COMMON STOCK 0.0 2020-07-29 deemed execution date M 20,000 (a) class a common stock 20,000 $0.00 20,000 direct
RESTRICTED STOCK UNITS (RSU) 0.0 2020-07-29 deemed execution date M 39,893 (d) class a common stock 39,893 $0.00 0 direct
CLASS B COMMON STOCK 0.0 2020-07-30 deemed execution date C 20,000 (d) class a common stock 20,000 $0.00 0 direct
Footnotes
IDfootnote
f1 all the outstanding shares of our class b common stock will convert automatically into shares of our class a common stock upon the occurrenceof certain events. in addition, class b common stock may be converted into shares of class a common stock at any time at the election of theholder.
f2 sales of shares to satisfy tax withholding obligations incurred in connection with the settlement of vested restricted stock units. such sales were effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person.
f3 the price reported is a weighted average price. these shares were sold in multiple transactions ranging from $12.51 to $13.06, inclusive. thereporting person undertakes to provide bloom energy corporation, any security holder of bloom energy corporation, or the staff of thesecurities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within therange set forth in this footnote.
f4 each rsu represents a contingent right to receive one (1) share of the issuer's class b common stock upon settlement.
f5 the rsus 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 the rsus vest in equal installments every six months over two years from july 25, 2018, the date of grant.
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