Statement of Ownership (sc 13g)

Date : 02/15/2020 @ 6:21AM
Source : Edgar (US Regulatory)
Stock : Bloom Energy Corporation (BE)
Quote : 9.07  -0.1 (-1.09%) @ 10:22PM
After Hours
Last Trade
Last $ 9.45 ▲ 0.38 (4.19%)

Statement of Ownership (sc 13g)

 

 

 

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934
(Amendment No.     )*

 

BLOOM ENERGY CORPORATION

(Name of Issuer)

Class A Common stock, $0.0001 par value

(Title of Class of Securities)

093712107

(CUSIP Number)

12/31/2019

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

o

Rule 13d-1(b)

o

Rule 13d-1(c)

x

Rule 13d-1(d)

 

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 


 

 

CUSIP No. 

 

 

1.

Names of Reporting Persons
KR Sridhar

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

o

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
United States

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
4,470,021(1)(2)

 

6.

Shared Voting Power

 

7.

Sole Dispositive Power
4,470,021(1)(2)

 

8.

Shared Dispositive Power

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
4,470,021(1)(2)

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
5.02% (2)(3)

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

2


 

Item 1.

 

(a)

Name of Issuer
Bloom Energy Corporation

 

(b)

Address of Issuer’s Principal Executive Offices
4353 North First Street

San Jose, California 95134

UNITED STATES

 

Item 2.

 

(a)

Name of Person Filing
KR Sridhar

 

(b)

Address of Principal Business Office or, if none, Residence
4353 North First Street

San Jose, California 95134

 

(c)

Citizenship
United States

 

(d)

Title of Class of Securities
Class A common stock, $0.0001 par value

 

(e)

CUSIP Number
093712107

 

Item 3.

NOT APPLICABLE

 

3


 

Item 4.

Ownership

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

(a)

Amount beneficially owned:   

4,470,021(1)(2)

 

(b

Percent of class:   

5.02% (2)(3)

 

(c)

Number of shares as to which the person has:

 

 

 

(i)

Sole power to vote or to direct the vote   

4,470,021(1)(2)

 

 

(ii)

Shared power to vote or to direct the vote    

 

 

 

(iii)

Sole power to dispose or to direct the disposition of   

4,470,021(1)(2)

 

 

(iv)

Shared power to dispose or to direct the disposition of   

 


(1)                                 Mr. Sridhar’s beneficial ownership includes 8,000 shares of Class A common stock held directly; 1,336,087 shares of Class B common stock held directly; 133,333 shares of Class B common stock held by the KR Sridhar and Sudha Sarma 2019 Two Year Grantor Retained Annuity Trust of which Mr. Sridhar is a trustee; 133.333 shares of Class B common stock held by the the KR Sridhar and Sudha Sarma 2019 Three Year Grantor Retained Annuity Trust of which Mr. Sridhar is a trustee; 133,334 shares of Class B common stock held by the the KR Sridhar and Sudha Sarma 2019 Four Year Grantor Retained Annuity Trust of which Mr. Sridhar is a trustee; 325,520 shares held by the KR Sridhar and Sudha Sarma 2012 Irrevocable Trust of which Mr. Sridhar is a trustee; 111,260 shares of Class B common stock held by the KR Sridhar 2010 Annuity Trust AS dated April 27, 2010 of which Mr. Sridhar is a trustee; and 66,272 shares of Class B common stock held by the KR Sridhar 2008 Annuity Trust KS dated December 18, 2008 of which Mr. Sridhar is a trustee; and 2,222,882 options to purchase shares of Class B common stock that are currently exercisable or will become exercisable within 60 days of December 31, 2019.

(2)                                 Each share of Class A common stock is entitled to one vote per share and each share of Class B common stock is entitled to ten votes per share. Each share of Class B common stock is convertible into one share of Class A common stock as described in the Issuer’s Restated Certificate of Incorporation.

(3)                                 The percent of class was calculated based on 84,549,411 shares of Class A common stock and 36,486,778 shares of Class B common stock of the Issuer issued and outstanding as of December 31, 2019. The percentage reported does not reflect the ten-for-one voting power of the Class B common stock.

Item 5.

Ownership of Five Percent or Less of a Class

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following   o.

 

Item 6.

Ownership of More than Five Percent on Behalf of Another Person

NOT APPLICABLE

 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person

NOT APPLICABLE

 

Item 8.

Identification and Classification of Members of the Group

NOT APPLICABLE

 

Item 9.

Notice of Dissolution of Group

NOT APPLICABLE

 

 

4


 

Item 10.

Certification

NOT APPLICABLE

 

Signature

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

 

February 14, 2020

 

Date

 


/s/ KR Sridhar

 

Signature

 


KR Sridhar

 

Name/Title

 

 

 

ATTENTION

 

Intentional misstatements or omissions of fact constitute Federal Criminal Violations (See 18 U.S.C. 1001).

 

5


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