Filing Details

Accession Number:
0001209191-18-044546
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-07-31 16:16:45
Reporting Period:
2018-07-27
Accepted Time:
2018-07-31 16:16:45
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1664703 Bloom Energy Corp BE () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1005561 J Peter Barris 1954 Greenspring Drive
Suite 600
Timonium MD 21093
No No Yes No
1132326 P L 10 Associates Enterprise New 1954 Greenspring Drive
Suite 600
Timonium MD 21093
No No Yes No
1219855 James M Barrett 1954 Greenspring Drive
Suite 600
Timonium MD 21093
No No Yes No
1236049 P L 10 Partners Nea 1954 Greenspring Drive
Suite 600
Timonium MD 21093
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2018-07-27 1,333,333 $15.00 1,333,333 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class B Common Stock Series B Convertible Preferred Stock Disposition 2018-07-27 4,527,868 $0.00 4,527,868 $0.00
Class A Common Stock Class B Common Stock Acquisiton 2018-07-27 4,527,868 $0.00 4,527,868 $0.00
Class B Common Stock Series C Convertible Preferred Stock Disposition 2018-07-27 1,062,944 $0.00 1,062,944 $0.00
Class A Common Stock Class B Common Stock Acquisiton 2018-07-27 1,062,944 $0.00 1,062,944 $0.00
Class B Common Stock Series D Convertible Preferred Stock Disposition 2018-07-27 620,155 $0.00 620,155 $0.00
Class A Common Stock Class B Common Stock Acquisiton 2018-07-27 620,155 $0.00 620,155 $0.00
Class B Common Stock Series E Convertible Preferred Stock Disposition 2018-07-27 395,815 $0.00 395,815 $0.00
Class A Common Stock Class B Common Stock Acquisiton 2018-07-27 395,815 $0.00 395,815 $0.00
Class B Common Stock Series F Convertible Preferred Stock Disposition 2018-07-27 125,989 $0.00 125,989 $0.00
Class A Common Stock Class B Common Stock Acquisiton 2018-07-27 125,989 $0.00 125,989 $0.00
Class B Common Stock Series G Convertible Preferred Stock Disposition 2018-07-27 650,631 $0.00 650,631 $0.00
Class A Common Stock Class B Common Stock Acquisiton 2018-07-27 650,631 $0.00 650,631 $0.00
Series G Convertible Preferred Stock 8% Convertible Preferred Notes Disposition 2018-07-27 346,239 $0.00 346,239 $0.00
Class A Common Stock Class B Common Stock Acquisiton 2018-07-27 346,239 $0.00 346,239 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Direct
4,527,868 No 4 C Direct
0 No 4 C Direct
5,590,812 No 4 C Direct
0 No 4 C Direct
6,210,967 No 4 C Direct
0 No 4 C Direct
6,606,782 No 4 C Direct
0 No 4 C Direct
6,732,771 No 4 C Direct
0 No 4 C Direct
7,383,402 No 4 C Direct
0 No 4 C Direct
7,729,641 No 4 C Direct
Footnotes
  1. The securities are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partners of NEA Partners 10 (NEA Partners 10 and its individual general partners together, the "Indirect Reporting Persons"). The individual general partners of NEA Partners 10 are Peter J. Barris, M. James Barrett and Scott D. Sandell. Each Indirect Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 securities in which such Indirect Reporting Person has no pecuniary interest.
  2. Each share of Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into the Issuer's Class B Common Stock, on a 1 for 1 basis, immediately prior to the Closing of the Issuer's initial public offering on July 27, 2018 ("IPO") and had no expiration date.
  3. The Class B Common Stock is convertible into the issuer's Class A Common Stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of our Class B common stock will convert automatically into shares of our 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 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 our 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.
  4. The principal amount and accrued interest of the 8% Convertible Preferred Notes ("8% Notes") automatically converted into the specified number of shares of Class B Common Stock as a result of the automatic conversion of the Issuer's outstanding preferred stock in connection with the Issuer's IPO.
  5. The number of shares reflect both the principle and the interest accrued through July 27, 2018, the date of the automatic conversion.