SEC Form 4 · accession 0000899243-19-001821
Bloom Energy Corp · BE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Bradley A Feld
10% Owner
MOBIUS VI LLC
10% Owner
MOBIUS TECHNOLOGY VENTURES VI LP
10% Owner
SOFTBANK U S VENTURES VI L P
10% Owner
Jason A Mendelson
10% Owner
Period of report
Jul 27, 2018
Accepted (ET)
Jan 23, 2019 · 9:27 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001664703
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series F Convertible Preferred StockF4,F5,F6 | — | Jul 27, 2018 | C | 162 | D | — | — | Class B Common Stock | 162 | 0 | I |
| Class B Common StockF4,F5,F7 | — | Jul 27, 2018 | C | 162 | A | — | — | Class A Common Stock | 162 | 55,624 | I |
| Class B Common StockF1,F5,F7 | — | Jan 18, 2019 | C | 1,427,843 | D | — | — | Class A Common Stock | 1,427,843 | 0 | I |
| Class B Common StockF2,F5,F7 | — | Jan 18, 2019 | C | 1,531,414 | D | — | — | Class A Common Stock | 1,531,414 | 0 | I |
| Class B Common StockF3,F4,F7 | — | Jan 18, 2019 | C | 58,392 | D | — | — | Class A Common Stock | 58,392 | 0 | I |
| Class B Common StockF4,F5,F7 | — | Jan 18, 2019 | C | 55,624 | D | — | — | Class A Common Stock | 55,624 | 0 | I |
Explanation of responses
- F1The securities are held by Mobius Technology Ventures VI, L.P. ("Mobius Technology VI").
- F2The securities are held by SOFTBANK U.S. Ventures VI, L.P. ("Softbank").
- F3The securities are held by Mobius Technology Ventures Side Fund VI, L.P. ("Mobius Side Fund").
- F4The securities are held by Mobius Technology Ventures Advisors Fund VI, L.P. ("Mobius Advisors Fund").
- F5Mobius VI LLC ("Mobius VI") is the General Partner of Mobius Technology VI, Softbank, Mobius Side Fund and Mobius Advisors Fund (collectively, the "Mobius Funds"). Mobius VI may be deemed to indirectly beneficially own the securities owned by the Mobius Funds. Bradley A. Feld and Jason A. Mendelson are Managing Directors of Mobius VI and each share voting and dispositive power over the securities held by Mobius Funds. Each reporting person disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein.
- F6Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock and Series E Convertible Preferred Stock and Series F 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.
- F7The 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 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 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 Issuer's 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.
Remarks
Form 2 of 2.