Sec Form 13G Filing - Sridhar KR filing for Bloom Energy Corp (BE) - 2021-02-12

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.

CUSIP No. 093712107

Names of Reporting Persons

KR Sridhar

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

(a)  ☐        (b)  ☐

SEC Use Only

Citizenship or Place of Organization

United States

Number of Shares Beneficially Owned by Each Reporting Person

With

Sole Voting Power

3,967,493 (1)(2)

Shared Voting Power

1,579,260 (1)(2)

Sole Dispositive Power

3,967,493 (1)(2)

Shared Dispositive Power

1,579,260 (1)(2)

Aggregate Amount Beneficially Owned by Each Reporting Person

5,546,753 (1)(2)

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

☐

Percent of Class Represented by Amount in Row (9)

& #xA0;

3.81%

Type of Reporting Person (See Instructions)

IN

Name of Issuer

Address of Issuer’s Principal Executive Offices

Name of Person(s) Filing:

Address of Principal Business Office or, if none, Residence:

Citizenship:

Title of Class of Securities:

CUSIP Number:

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

Ownership

Amount beneficially owned:

Percent of class:

Number of shares as to which the person has::

Sole power to vote or to direct the vote

Shared power to vote or to direct the vote

Sole power to dispose or to direct the disposition of

Shared power to dispose or to direct the disposition of

Mr. Sridhar’s beneficial ownership includes 53,239 shares of Class A common stock held directly; 1,462,633 shares of Class B common stock held directly; 133,334 shares of Class B common stock held by the KR Sridhar and Sudha Sarma 2020 Four Year Grantor Retained Annuity Trust (“GRAT”) of which Mr. Sridhar is a trustee; 133,333 shares of Class B common stock held by the KR Sridhar and Sudha Sarma 2020 Three Year GRAT of which Mr. Sridhar is a trustee; 133,333 shares of Class B common stock held by the KR Sridhar and Sudha Sarma 2020 Two Year GRAT of which Mr. Sridhar is a trustee; 128,082 shares of Class B common stock held by the KR Sridhar and Sudha Sarma 2019-1 Four Year GRAT of which Mr. Sridhar is a trustee; 125,689 shares of Class B common stock held by the KR Sridhar and Sudha Sarma 2019-1 Three Year GRAT of which Mr. Sridhar is a trustee; 120,842 shares of Class B common stock held by the KR Sridhar and Sudha Sarma 2019-1 Two Year GRAT of which Mr. Sridhar is a trustee; 112,889 shares of Class B common stock held by the KR Sridhar and Sudha Sarma 2019 Four Year GRAT of which Mr. Sridhar is a trustee; 103,676 shares of Class B common stock held by the KR Sridhar and Sudha Sarma 2019 Three Year GRAT of which Mr. Sridhar is a trustee; 85,030 shares of Class B common stock held by the KR Sridhar and Sudha Sarma 2019 Two Year GRAT 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; 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 2,451,621 options to purchase shares of Class A common stock and Class B common stock that are currently exercisable or will become exercisable within 60 days of December 31, 2020.

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.

The percent of class was calculated based on 140,094,633 shares of Class A common stock of the Issuer issued and outstanding as of December 31, 2020. The percentage reported does not reflect the ten-for-one voting power of the Class B common stock.

Ownership of Five Percent or Less of a Class

Ownership of More than Five Percent on Behalf of Another Person

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

Identification and Classification of Members of the Group

Notice of Dissolution of Group

Certification