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person · Reporting owner

DOERR L JOHN

Disclosed activity across 9 companies

Tapewire entity
10574
SEC CIK
0001032455

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
AMAZON COM INCAMZN · Entity 1956DirectorNovember 06, 2009November 11, 2009
Alphabet Inc.GOOGL · Entity 2516DirectorSeptember 14, 2026September 17, 2026
Bloom Energy CorpBE · Entity 2659DirectorAugust 27, 2020September 01, 2020
Coursera, Inc.COUR · Entity 4586DirectorMay 13, 2022May 16, 2022
DoorDash, Inc.DASH · Entity 1541DirectorJune 10, 2026June 12, 2026
QuantumScape CorpQS · Entity 4158DirectorDecember 15, 2021December 17, 2021
SunPower Inc.SPWR · Entity 715210% ownerSeptember 04, 2026September 22, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

AMAZON COM INC

Report date November 06, 2009 · Filed November 11, 2009

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, par value $.01 per shareSEC Table I · non-derivativeDirect2,924,962 Reported balance After 2009-11-06 transaction · row 1
1 source row

Row 1 · 2009-11-06 · Exercise / conversion · Acquired 2,333 · Balance 2,924,962

Common Stock, par value $.01 per shareSEC Table I · non-derivativeIndirectBy KPCB Information Sciences Zaibatsu Fund II, L.P., a California limited partnership0 Reported balance After 2009-11-06 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2009-11-06 · Sale · Disposed 11,454 · Balance 0

F1: Represents the weighted average sale price. The highest price at which shares were sold was $126.27 and the lowest price at which shares were sold was $125.93. The reporting person undertakes to provide, upon request by the staff of the SEC, the issuer, or a security holder of the issuer, full information regarding the number of shares transacted at each price.

F2: Mr. Doerr is a general partner of KPCB VII Associates, L.P., a California limited partnership, which is the general partner of KPCB Information Sciences Zaibatsu Fund II, L.P. Mr. Doerr disclaims beneficial ownership of shares of the issuer's common stock held directly by KPCB Information Sciences Zaibatsu Fund II, L.P., except to the extent of any indirect pecuniary interest in his distributive shares therein.

Restricted Stock UnitSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2010-11-06Direct2,333 Reported balance After 2009-11-06 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2009-11-06 · Exercise / conversion · Disposed 2,333 · Balance 2,333

F3: Converts into Common Stock on a one-for-one basis.

F4: Subject to the reporting person's continued service as a director of the issuer, this award will vest and convert into shares of Common Stock of the issuer at the rate of 2,334 shares on November 6, 2008, and an additional 2,333 shares on November 6, 2009 and November 6, 2010.

Filing footnotes · ownership attribution and instrument terms

F1: Represents the weighted average sale price. The highest price at which shares were sold was $126.27 and the lowest price at which shares were sold was $125.93. The reporting person undertakes to provide, upon request by the staff of the SEC, the issuer, or a security holder of the issuer, full information regarding the number of shares transacted at each price.

F2: Mr. Doerr is a general partner of KPCB VII Associates, L.P., a California limited partnership, which is the general partner of KPCB Information Sciences Zaibatsu Fund II, L.P. Mr. Doerr disclaims beneficial ownership of shares of the issuer's common stock held directly by KPCB Information Sciences Zaibatsu Fund II, L.P., except to the extent of any indirect pecuniary interest in his distributive shares therein.

F3: Converts into Common Stock on a one-for-one basis.

F4: Subject to the reporting person's continued service as a director of the issuer, this award will vest and convert into shares of Common Stock of the issuer at the rate of 2,334 shares on November 6, 2008, and an additional 2,333 shares on November 6, 2009 and November 6, 2010.

Alphabet Inc.

Report date September 14, 2026 · Filed September 17, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class C Google Stock UnitsSEC Table I · non-derivativeDirect941 Reported balance After 2026-09-14 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2026-09-14 · Grant · Acquired 1 · Balance 941

F1: The Google Stock Units (GSUs) entitle the Reporting Person to receive one share of Alphabet Inc. Class C Capital Stock for each share underlying the GSU as GSU vests. 1/48 of GSUs shall vest on the 25th of the month of the Grant Date, vesting 1/48 every 1 month(s) for 7 event(s); 1/48 of GSUs shall vest on the 1st of the month 7 month(s) after the Grant Date, vesting 1/48 every 1 month(s) for 41 event(s), subject to continued employment on such vesting date(s).

F2: Represents the dividend equivalent units (DEUs) that accrued on the Reporting Person's GSUs held as of September 7, 2026, in connection with the cash dividend that was declared by the Issuer and distributed on September 14, 2026. These DEUs will vest on the same schedule as the GSUs on which the DEUs accrued. Each DEU entitles the Reporting Person to receive one share of Alphabet Inc. Class C capital stock for each share underlying the DEU as each DEU vests.

F3: Consists of 1 DEUs and 940 GSUs.

Class C Google Stock UnitsSEC Table I · non-derivativeDirect597 Reported balance After 2026-09-14 transaction · row 2 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 2 · 2026-09-14 · Grant · Acquired 0.4 · Balance 597

F4: 1/48 of GSUs vests on the 25th day of each month following the grant date for 31 months and on the 1st day of each month for the following 17 months, subject to continued service on the Board on the appliable vesting dates.

F5: Represents the dividend equivalent units (DEUs) that accrued on the Reporting Person's GSUs held as of September 7, 2026, in connection with the cash dividend that was declared by the Issuer and distributed on September 14, 2026. These DEUs will vest on the same schedule as the GSUs on which the DEUs accrued. Each DEU entitles the Reporting Person to receive one share of Alphabet Inc. Class C capital stock for each share underlying the DEU as each DEU vests.

F6: Consists of 5 DEUs and 592 GSUs.

Class C Google Stock UnitsSEC Table I · non-derivativeDirect903 Reported balance After 2026-09-14 transaction · row 3 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 3 · 2026-09-14 · Grant · Acquired 1 · Balance 903

F7: 1/48th of GSUs vested on July 25, 2024 and an additional 1/48th of GSUs vests monthly thereafter until the GSUs are fully vested, subject to continued service on the Board on the appliable vesting dates.

F5: Represents the dividend equivalent units (DEUs) that accrued on the Reporting Person's GSUs held as of September 7, 2026, in connection with the cash dividend that was declared by the Issuer and distributed on September 14, 2026. These DEUs will vest on the same schedule as the GSUs on which the DEUs accrued. Each DEU entitles the Reporting Person to receive one share of Alphabet Inc. Class C capital stock for each share underlying the DEU as each DEU vests.

F8: Consists of 7 DEUs and 896 GSUs.

Class C Google Stock UnitsSEC Table I · non-derivativeDirect1,433 Reported balance After 2026-09-14 transaction · row 4 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 4 · 2026-09-14 · Grant · Acquired 1 · Balance 1,433

F9: 1/48 of GSUs will vest on the 25th day of each month following the grant date for 19 months and on the 1st day of each month for the following 29 months, subject to continued service on the Board on the applicable vesting dates.

F5: Represents the dividend equivalent units (DEUs) that accrued on the Reporting Person's GSUs held as of September 7, 2026, in connection with the cash dividend that was declared by the Issuer and distributed on September 14, 2026. These DEUs will vest on the same schedule as the GSUs on which the DEUs accrued. Each DEU entitles the Reporting Person to receive one share of Alphabet Inc. Class C capital stock for each share underlying the DEU as each DEU vests.

F10: Consists of 5 DEUs and 1,428 GSUs.

Class A Common StockSEC Table I · non-derivativeDirect69,700 Reported balance Holding disclosure · report date 2026-09-14 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · Balance 69,700

Class C Capital StockSEC Table I · non-derivativeDirect141,219 Reported balance Holding disclosure · report date 2026-09-14 · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · Balance 141,219

Class C Capital StockSEC Table I · non-derivativeIndirectVallejo Ventures Trust15,823,900 Reported balance Holding disclosure · report date 2026-09-14 · row 7 Holding and transaction disclosures are not merged.
1 source row

Row 7 · Balance 15,823,900

Class C Capital StockSEC Table I · non-derivativeIndirectThe 1999 Portico Trust B1,613,800 Reported balance Holding disclosure · report date 2026-09-14 · row 8 Holding and transaction disclosures are not merged.
1 source row

Row 8 · Balance 1,613,800

Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectVallejo Ventures Trust22,348,940 Reported balance Holding disclosure · report date 2026-09-14 · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · Balance 22,348,940

F11: All shares are exercisable as of the transaction date.

F12: There is no expiration date for the Issuer's Class B Common Stock.

Filing footnotes · ownership attribution and instrument terms

F1: The Google Stock Units (GSUs) entitle the Reporting Person to receive one share of Alphabet Inc. Class C Capital Stock for each share underlying the GSU as GSU vests. 1/48 of GSUs shall vest on the 25th of the month of the Grant Date, vesting 1/48 every 1 month(s) for 7 event(s); 1/48 of GSUs shall vest on the 1st of the month 7 month(s) after the Grant Date, vesting 1/48 every 1 month(s) for 41 event(s), subject to continued employment on such vesting date(s).

F2: Represents the dividend equivalent units (DEUs) that accrued on the Reporting Person's GSUs held as of September 7, 2026, in connection with the cash dividend that was declared by the Issuer and distributed on September 14, 2026. These DEUs will vest on the same schedule as the GSUs on which the DEUs accrued. Each DEU entitles the Reporting Person to receive one share of Alphabet Inc. Class C capital stock for each share underlying the DEU as each DEU vests.

F3: Consists of 1 DEUs and 940 GSUs.

F4: 1/48 of GSUs vests on the 25th day of each month following the grant date for 31 months and on the 1st day of each month for the following 17 months, subject to continued service on the Board on the appliable vesting dates.

F5: Represents the dividend equivalent units (DEUs) that accrued on the Reporting Person's GSUs held as of September 7, 2026, in connection with the cash dividend that was declared by the Issuer and distributed on September 14, 2026. These DEUs will vest on the same schedule as the GSUs on which the DEUs accrued. Each DEU entitles the Reporting Person to receive one share of Alphabet Inc. Class C capital stock for each share underlying the DEU as each DEU vests.

F6: Consists of 5 DEUs and 592 GSUs.

F7: 1/48th of GSUs vested on July 25, 2024 and an additional 1/48th of GSUs vests monthly thereafter until the GSUs are fully vested, subject to continued service on the Board on the appliable vesting dates.

F8: Consists of 7 DEUs and 896 GSUs.

F9: 1/48 of GSUs will vest on the 25th day of each month following the grant date for 19 months and on the 1st day of each month for the following 29 months, subject to continued service on the Board on the applicable vesting dates.

F10: Consists of 5 DEUs and 1,428 GSUs.

F11: All shares are exercisable as of the transaction date.

F12: There is no expiration date for the Issuer's Class B Common Stock.

Bloom Energy Corp

Report date August 27, 2020 · Filed September 01, 2020

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectKPCB Holdings, Inc. as Nominee0 Last balance in matching sequence After 2020-08-27 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2020-08-27 · Conversion · Acquired 7,701,219 · Balance 7,701,219

F1: Conversion of a derivative security in accordance with its terms.

F2: All shares are held for convenience in the name of KPCB Holdings, Inc., as nominee, for the accounts of such individuals and entities who each exercise their own voting and dispositive control over such shares.

F3: KPCB X Associates, LLC ("KPCB X Associates"), is the general partner of Kleiner Perkins Caufield & Byers X-A, L.P. ("KPCB X-A") and Kleiner Perkins Caufield & Byers X-B, L.P. ("KPCB X-B"). Brook Byers, L. John Doerr, Kevin Compton, Doug Mackenzie, Raymond Lane and Theodore Schlein, the managers of KPCB X Associates, share voting and dispositive control over the shares held by KPCB X-A and KPCB X-B. Each manager of KPCB X Associates disclaims beneficial ownership of the shares held by KPCB X-A and KPCB X-B.

Row 2 · 2020-08-27 · Other · Disposed 7,701,219 · Balance 0

F4: Represents a pro-rata in-kind distribution of Class A Common Stock of the Issuer by KPCB X-A and KPCB X-B without consideration to their partners (the "Fund Distribution") and a change in the form of beneficial ownership for individuals and entities associated with KPCB Holdings, Inc.

F2: All shares are held for convenience in the name of KPCB Holdings, Inc., as nominee, for the accounts of such individuals and entities who each exercise their own voting and dispositive control over such shares.

F3: KPCB X Associates, LLC ("KPCB X Associates"), is the general partner of Kleiner Perkins Caufield & Byers X-A, L.P. ("KPCB X-A") and Kleiner Perkins Caufield & Byers X-B, L.P. ("KPCB X-B"). Brook Byers, L. John Doerr, Kevin Compton, Doug Mackenzie, Raymond Lane and Theodore Schlein, the managers of KPCB X Associates, share voting and dispositive control over the shares held by KPCB X-A and KPCB X-B. Each manager of KPCB X Associates disclaims beneficial ownership of the shares held by KPCB X-A and KPCB X-B.

Class A Common StockSEC Table I · non-derivativeIndirectBy trust3,040,213 Reported balance After 2020-08-27 transaction · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · 2020-08-27 · Other · Acquired 929,374 · Balance 3,040,213

F5: Represents a change in the form of ownership by virtue of the receipt of shares in the Fund Distribution.

F6: Held by Vallejo Ventures Trust, L. John and Ann Doerr, Trustees.

Class A Common StockSEC Table I · non-derivativeIndirectBy trust275,918 Reported balance Holding disclosure · report date 2020-08-27 · row 8 Holding and transaction disclosures are not merged.
1 source row

Row 8 · Balance 275,918

F10: Held by The 1999 Portico Trust, of which the Reporting Person is a trustee.

Class A Common StockSEC Table I · non-derivativeIndirectBy trust19,255 Reported balance Holding disclosure · report date 2020-08-27 · row 9 Holding and transaction disclosures are not merged.
1 source row

Row 9 · Balance 19,255

F11: Held by The Hampton 1999 Trust dated May 25, 1999, of which the Reporting Person is a trustee.

Class A Common StockSEC Table I · non-derivativeIndirectBy trust19,255 Reported balance Holding disclosure · report date 2020-08-27 · row 10 Holding and transaction disclosures are not merged.
1 source row

Row 10 · Balance 19,255

F12: Held by The Austin 1999 Trust dated May 25, 1999, of which the Reporting Person is a trustee.

Class A Common StockSEC Table I · non-derivativeIndirectKPTV, LLC17,534 Reported balance After 2020-08-27 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2020-08-27 · Other · Acquired 17,534 · Balance 17,534

F5: Represents a change in the form of ownership by virtue of the receipt of shares in the Fund Distribution.

F7: Held by KPTV, LLC, of which Vallejo Ventures Trust is the sole member.

Class A Common StockSEC Table I · non-derivativeIndirect2750 Sand Hill Associates, LLC8,769 Reported balance After 2020-08-27 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2020-08-27 · Other · Acquired 8,769 · Balance 8,769

F5: Represents a change in the form of ownership by virtue of the receipt of shares in the Fund Distribution.

F8: Held by 2750 Sand Hill Associates, LLC, of which KPTV, LLC is a member.

Class B Common StockSEC Table II · derivative / convertible securityIndirectKPCB Holdings, Inc. as Nominee159,115 Reported balance After 2020-08-27 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · 2020-08-27 · Conversion · Disposed 7,701,219 · Balance 159,115

F13: The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except 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 Secretary of the Issuer or Chairman of the Issuer's Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F1: Conversion of a derivative security in accordance with its terms.

F2: All shares are held for convenience in the name of KPCB Holdings, Inc., as nominee, for the accounts of such individuals and entities who each exercise their own voting and dispositive control over such shares.

F3: KPCB X Associates, LLC ("KPCB X Associates"), is the general partner of Kleiner Perkins Caufield & Byers X-A, L.P. ("KPCB X-A") and Kleiner Perkins Caufield & Byers X-B, L.P. ("KPCB X-B"). Brook Byers, L. John Doerr, Kevin Compton, Doug Mackenzie, Raymond Lane and Theodore Schlein, the managers of KPCB X Associates, share voting and dispositive control over the shares held by KPCB X-A and KPCB X-B. Each manager of KPCB X Associates disclaims beneficial ownership of the shares held by KPCB X-A and KPCB X-B.

Class B Common StockSEC Table II · derivative / convertible securityIndirectKPCB Holdings, Inc. as Nominee0 Reported balance After 2020-08-27 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2020-08-27 · Other · Disposed 159,115 · Balance 0

F13: The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except 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 Secretary of the Issuer or Chairman of the Issuer's Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F14: Represents a change in the form of beneficial ownership of Class B Common Stock for individuals and entities associated with KPCB Holdings, Inc., as nominee.

F2: All shares are held for convenience in the name of KPCB Holdings, Inc., as nominee, for the accounts of such individuals and entities who each exercise their own voting and dispositive control over such shares.

F3: KPCB X Associates, LLC ("KPCB X Associates"), is the general partner of Kleiner Perkins Caufield & Byers X-A, L.P. ("KPCB X-A") and Kleiner Perkins Caufield & Byers X-B, L.P. ("KPCB X-B"). Brook Byers, L. John Doerr, Kevin Compton, Doug Mackenzie, Raymond Lane and Theodore Schlein, the managers of KPCB X Associates, share voting and dispositive control over the shares held by KPCB X-A and KPCB X-B. Each manager of KPCB X Associates disclaims beneficial ownership of the shares held by KPCB X-A and KPCB X-B.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy trust739,275 Reported balance After 2020-08-27 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · 2020-08-27 · Other · Acquired 159,115 · Balance 739,275

F13: The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except 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 Secretary of the Issuer or Chairman of the Issuer's Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F14: Represents a change in the form of beneficial ownership of Class B Common Stock for individuals and entities associated with KPCB Holdings, Inc., as nominee.

F6: Held by Vallejo Ventures Trust, L. John and Ann Doerr, Trustees.

Class A Common StockSEC Table I · non-derivativeDirect32,547 Reported balance Holding disclosure · report date 2020-08-27 · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · Balance 32,547

Class A Common StockSEC Table I · non-derivativeIndirectBy partnership32,052 Reported balance Holding disclosure · report date 2020-08-27 · row 7 Holding and transaction disclosures are not merged.
1 source row

Row 7 · Balance 32,052

F9: Held by LJD Ventures II Partnership, of which the Reporting Person is a general partner.

Filing footnotes · ownership attribution and instrument terms

F1: Conversion of a derivative security in accordance with its terms.

F2: All shares are held for convenience in the name of KPCB Holdings, Inc., as nominee, for the accounts of such individuals and entities who each exercise their own voting and dispositive control over such shares.

F3: KPCB X Associates, LLC ("KPCB X Associates"), is the general partner of Kleiner Perkins Caufield & Byers X-A, L.P. ("KPCB X-A") and Kleiner Perkins Caufield & Byers X-B, L.P. ("KPCB X-B"). Brook Byers, L. John Doerr, Kevin Compton, Doug Mackenzie, Raymond Lane and Theodore Schlein, the managers of KPCB X Associates, share voting and dispositive control over the shares held by KPCB X-A and KPCB X-B. Each manager of KPCB X Associates disclaims beneficial ownership of the shares held by KPCB X-A and KPCB X-B.

F4: Represents a pro-rata in-kind distribution of Class A Common Stock of the Issuer by KPCB X-A and KPCB X-B without consideration to their partners (the "Fund Distribution") and a change in the form of beneficial ownership for individuals and entities associated with KPCB Holdings, Inc.

F5: Represents a change in the form of ownership by virtue of the receipt of shares in the Fund Distribution.

F6: Held by Vallejo Ventures Trust, L. John and Ann Doerr, Trustees.

F7: Held by KPTV, LLC, of which Vallejo Ventures Trust is the sole member.

F8: Held by 2750 Sand Hill Associates, LLC, of which KPTV, LLC is a member.

F9: Held by LJD Ventures II Partnership, of which the Reporting Person is a general partner.

F10: Held by The 1999 Portico Trust, of which the Reporting Person is a trustee.

F11: Held by The Hampton 1999 Trust dated May 25, 1999, of which the Reporting Person is a trustee.

F12: Held by The Austin 1999 Trust dated May 25, 1999, of which the Reporting Person is a trustee.

F13: The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except 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 Secretary of the Issuer or Chairman of the Issuer's Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F14: Represents a change in the form of beneficial ownership of Class B Common Stock for individuals and entities associated with KPCB Holdings, Inc., as nominee.

Coursera, Inc.

Report date May 13, 2022 · Filed May 16, 2022

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect59,199 Reported balance After 2022-05-13 transaction · row 1
1 source row

Row 1 · 2022-05-13 · Grant · Acquired 8,655 · Balance 59,199

F1: Issuable upon the settlement of a restricted stock unit award, which vests on the earlier of May 13, 2023 and the issuer's 2023 annual stockholder meeting.

Filing footnotes · ownership attribution and instrument terms

F1: Issuable upon the settlement of a restricted stock unit award, which vests on the earlier of May 13, 2023 and the issuer's 2023 annual stockholder meeting.

DoorDash, Inc.

Report date June 10, 2026 · Filed June 12, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect9,069 Reported balance After 2026-06-10 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2026-06-10 · Grant · Acquired 1,986 · Balance 9,069

F1: Each share is represented by a restricted stock unit ("RSU"). The RSUs will vest on the earlier of (i) the one year anniversary of the grant date, or (ii) the day prior to the date of the Issuer's next annual meeting of shareholders, in each case subject to the Reporting Person continuing to be a service provider through the applicable vesting date.

F2: Certain of these securities are represented by RSUs.

Class A Common StockSEC Table I · non-derivativeIndirectSee footnote33,818 Reported balance Holding disclosure · report date 2026-06-10 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 33,818

F3: The shares are held directly by KPCB DGF II Associates, LLC ("DGF II Associates"). The Reporting Person is a managing member of DGF II Associates and may be deemed to share voting and investment power over the securities held by DGF II Associates. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Class A Common StockSEC Table I · non-derivativeIndirectSee footnote364,622 Reported balance Holding disclosure · report date 2026-06-10 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 364,622

F4: Shares are held by the Vallejo Ventures Trust for which the Reporting Person and his spouse serve as trustees.

Class A Common StockSEC Table I · non-derivativeIndirectSee footnote462,294 Reported balance Holding disclosure · report date 2026-06-10 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · Balance 462,294

F5: Shares are held by investment entities controlled by the Reporting Person.

Filing footnotes · ownership attribution and instrument terms

F1: Each share is represented by a restricted stock unit ("RSU"). The RSUs will vest on the earlier of (i) the one year anniversary of the grant date, or (ii) the day prior to the date of the Issuer's next annual meeting of shareholders, in each case subject to the Reporting Person continuing to be a service provider through the applicable vesting date.

F2: Certain of these securities are represented by RSUs.

F3: The shares are held directly by KPCB DGF II Associates, LLC ("DGF II Associates"). The Reporting Person is a managing member of DGF II Associates and may be deemed to share voting and investment power over the securities held by DGF II Associates. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F4: Shares are held by the Vallejo Ventures Trust for which the Reporting Person and his spouse serve as trustees.

F5: Shares are held by investment entities controlled by the Reporting Person.

QuantumScape Corp

Report date December 15, 2021 · Filed December 17, 2021

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect5,294 Reported balance After 2021-12-15 transaction · row 1
1 source row

Row 1 · 2021-12-15 · Grant · Acquired 5,294 · Balance 5,294

F1: On December 15, the Issuer granted an RSU to the Reporting Person as an annual award automatically granted under the Issuer's Outside Director Compensation Policy. Each RSU represents the Reporting Person's right to receive one share of Class A Common Stock of the Issuer. 100% of the RSUs vest on the first quarterly vesting date following the one-year anniversary of the grant date, subject to the Reporting Person's continued service as of the vesting date.

Class A Common StockSEC Table I · non-derivativeIndirectsee footnote554,241 Reported balance Holding disclosure · report date 2021-12-15 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 554,241

F2: Shares are held by Vallejo Ventures Trust for which the Reporting Person and his spouse serve as trustee.

Class A Common StockSEC Table I · non-derivativeIndirectsee footnote47,568 Reported balance Holding disclosure · report date 2021-12-15 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 47,568

F3: The sole member of KPIC, LLC is Vallejo Ventures Trust. The Reporting Person is a trustee of the Vallejo Ventures Trust. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectsee footnote4,468 Reported balance Holding disclosure · report date 2021-12-15 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · Balance 4,468

F4: The managing member of Lupum Ventures, LLC is Vallejo Ventures Trust. The Reporting Person is a trustee of the Vallejo Ventures Trust. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectsee footnote42,617 Reported balance Holding disclosure · report date 2021-12-15 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · Balance 42,617

F5: Shares are held by The Austin 1999 Trust Dated May 25, 1999 for which the Reporting Person serves as trustee.

Class A Common StockSEC Table I · non-derivativeIndirectsee footnote42,617 Reported balance Holding disclosure · report date 2021-12-15 · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · Balance 42,617

F6: Shares are held by The Hampton 1999 Trust Dated May 25, 1999 for which the Reporting Person serves as trustee.

Class A Common StockSEC Table I · non-derivativeIndirectsee footnote1,671,587 Reported balance Holding disclosure · report date 2021-12-15 · row 7 Holding and transaction disclosures are not merged.
1 source row

Row 7 · Balance 1,671,587

F7: The sole member of Portico Libre, LLC is Vallejo Ventures Trust. The Reporting Person is a trustee of the Vallejo Ventures Trust. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectsee footnote117,800 Reported balance Holding disclosure · report date 2021-12-15 · row 8 Holding and transaction disclosures are not merged.
1 source row

Row 8 · Balance 117,800

F8: The shares are held directly by KPCB XIV Associates, LLC ("KPCB XIV Associates"). The Reporting Person is a managing member of KPCB XIV Associates and may be deemed to share voting and investment power over the securities held by KPCB XIV Associates. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein

Filing footnotes · ownership attribution and instrument terms

F1: On December 15, the Issuer granted an RSU to the Reporting Person as an annual award automatically granted under the Issuer's Outside Director Compensation Policy. Each RSU represents the Reporting Person's right to receive one share of Class A Common Stock of the Issuer. 100% of the RSUs vest on the first quarterly vesting date following the one-year anniversary of the grant date, subject to the Reporting Person's continued service as of the vesting date.

F2: Shares are held by Vallejo Ventures Trust for which the Reporting Person and his spouse serve as trustee.

F3: The sole member of KPIC, LLC is Vallejo Ventures Trust. The Reporting Person is a trustee of the Vallejo Ventures Trust. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F4: The managing member of Lupum Ventures, LLC is Vallejo Ventures Trust. The Reporting Person is a trustee of the Vallejo Ventures Trust. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F5: Shares are held by The Austin 1999 Trust Dated May 25, 1999 for which the Reporting Person serves as trustee.

F6: Shares are held by The Hampton 1999 Trust Dated May 25, 1999 for which the Reporting Person serves as trustee.

F7: The sole member of Portico Libre, LLC is Vallejo Ventures Trust. The Reporting Person is a trustee of the Vallejo Ventures Trust. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F8: The shares are held directly by KPCB XIV Associates, LLC ("KPCB XIV Associates"). The Reporting Person is a managing member of KPCB XIV Associates and may be deemed to share voting and investment power over the securities held by KPCB XIV Associates. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein

SunPower Inc.

Report date September 04, 2026 · Filed September 22, 2026 · Amendment

Jointly reported with Doerr Ann Howland, Hager Barbara, Foris Ventures, LLC, Vallejo Ventures Trust UTA 21296

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Foris Ventures, LLC40,023,511 Reported balance Holding disclosure · report date 2026-09-04 · row 1 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 1 · Balance 40,023,511

F1: The Vallejo Ventures Trust U/T/A 2/12/96 ("VVT") is the member of Foris Ventures, LLC ("Foris"). L. John Doerr and Ann Doerr are the trustees of VVT. Barbara Hager is the special trustee of VVT and manager of Foris. By virtue of these relationships, each of VVT, L. John Doerr, Ann Doerr and Barbara Hager may be deemed to have the power to vote and dispose of shares held by Foris. Each of VVT, L. John Doerr, Ann Doerr and Barbara Hager disclaims beneficial ownership of the shares held by Foris except to the extent of his, her or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectBy The Vallejo Ventures Trust U/T/A 2/12/961,528,421 Reported balance Holding disclosure · report date 2026-09-04 · row 2 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 2 · Balance 1,528,421

F2: L. John Doerr and Ann Doerr are the trustees of VVT. Barbara Hager is the special trustee of VVT and manager of Foris. By virtue of these relationships, L. John Doerr, Ann Doerr and Barbara Hager may be deemed to have the power to vote and dispose of shares held by VVT. Each of L. John Doerr, Ann Doerr and Barbara Hager disclaims beneficial ownership of the shares held by VVT except to the extent of his or her pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

10.00% Convertible Senior Secured Note due 2029SEC Table II · derivative / convertible securityIndirectBy Foris Ventures, LLCNot disclosed Reported balance Holding disclosure · report date 2026-09-04 · row 3 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 3 · Balance Not disclosed

F3: The 10.00% Convertible Senior Secured Note due 2029 held by Foris (the "Convertible Note") is convertible into shares of the Company's Common Stock at a conversion rate of 610.3143 shares per $1,000 in principal (which conversion rate is subject to adjustment in certain circumstances), representing an effective conversion price of approximately $1.64 per share. The principal amount of the Convertible Note is $5,000,000. The Convertible Note matures on May 1, 2029, unless earlier converted or repurchased. The Reporting Person may convert all or any portion of the Convertible Note prior to the close of business on the business day immediately preceding the maturity date.

F1: The Vallejo Ventures Trust U/T/A 2/12/96 ("VVT") is the member of Foris Ventures, LLC ("Foris"). L. John Doerr and Ann Doerr are the trustees of VVT. Barbara Hager is the special trustee of VVT and manager of Foris. By virtue of these relationships, each of VVT, L. John Doerr, Ann Doerr and Barbara Hager may be deemed to have the power to vote and dispose of shares held by Foris. Each of VVT, L. John Doerr, Ann Doerr and Barbara Hager disclaims beneficial ownership of the shares held by Foris except to the extent of his, her or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2028-07-18IndirectBy Foris Ventures, LLCNot disclosed Reported balance Holding disclosure · report date 2026-09-04 · row 4 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 4 · Balance Not disclosed

F1: The Vallejo Ventures Trust U/T/A 2/12/96 ("VVT") is the member of Foris Ventures, LLC ("Foris"). L. John Doerr and Ann Doerr are the trustees of VVT. Barbara Hager is the special trustee of VVT and manager of Foris. By virtue of these relationships, each of VVT, L. John Doerr, Ann Doerr and Barbara Hager may be deemed to have the power to vote and dispose of shares held by Foris. Each of VVT, L. John Doerr, Ann Doerr and Barbara Hager disclaims beneficial ownership of the shares held by Foris except to the extent of his, her or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Vallejo Ventures Trust U/T/A 2/12/96 ("VVT") is the member of Foris Ventures, LLC ("Foris"). L. John Doerr and Ann Doerr are the trustees of VVT. Barbara Hager is the special trustee of VVT and manager of Foris. By virtue of these relationships, each of VVT, L. John Doerr, Ann Doerr and Barbara Hager may be deemed to have the power to vote and dispose of shares held by Foris. Each of VVT, L. John Doerr, Ann Doerr and Barbara Hager disclaims beneficial ownership of the shares held by Foris except to the extent of his, her or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

F2: L. John Doerr and Ann Doerr are the trustees of VVT. Barbara Hager is the special trustee of VVT and manager of Foris. By virtue of these relationships, L. John Doerr, Ann Doerr and Barbara Hager may be deemed to have the power to vote and dispose of shares held by VVT. Each of L. John Doerr, Ann Doerr and Barbara Hager disclaims beneficial ownership of the shares held by VVT except to the extent of his or her pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

F3: The 10.00% Convertible Senior Secured Note due 2029 held by Foris (the "Convertible Note") is convertible into shares of the Company's Common Stock at a conversion rate of 610.3143 shares per $1,000 in principal (which conversion rate is subject to adjustment in certain circumstances), representing an effective conversion price of approximately $1.64 per share. The principal amount of the Convertible Note is $5,000,000. The Convertible Note matures on May 1, 2029, unless earlier converted or repurchased. The Reporting Person may convert all or any portion of the Convertible Note prior to the close of business on the business day immediately preceding the maturity date.

Past disclosures · reporting ended (2)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

AMYRIS, INC.

Report date May 07, 2024 · Filed May 07, 2024

Jointly reported with Doerr Ann Howland, Vallejo Ventures Trust UTA 21296, Hager Barbara

Section 16 reporting ended · disclosed 2024-05-07. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2024-05-07 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2024-05-07 · Disposition to issuer · Disposed 46,047 · Balance 0

F1: Pursuant to the Issuer's Third Amended Joint Plan of Reorganization Pursuant to Chapter 11 of the Bankruptcy Code (the "Plan"), which was confirmed by the United States Bankruptcy Court for the District of Delaware on February 7, 2024 and became effective on May 7, 2024, each share of the Issuer's common stock and options to purchase the Issuer's common stock outstanding prior to the Issuer's emergence from bankruptcy were cancelled for no value.

F2: (continued from footnote 1) In addition, pursuant to the Plan, $20,000,000 of the claims arising from that certain Senior Secured Super Priority Debtor In Possession Loan Agreement, dated as of August 9, 2023 (the "DIP Credit Agreement"), by and among the Borrowers, the Guarantors and Euagore, LLC ("Euagore" and such other lenders from time to time party thereto, the "DIP Lenders"), an affiliate of Foris Ventures, LLC ("FV"), were converted into 100% of the new common stock of the reorganized Issuer and issued to the DIP Lenders (or their assignee) on the effective date of the Plan.

Common StockSEC Table I · non-derivativeIndirectby Foris Ventures, LLC0 Reported balance After 2024-05-07 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2024-05-07 · Disposition to issuer · Disposed 87,268,358 · Balance 0

F1: Pursuant to the Issuer's Third Amended Joint Plan of Reorganization Pursuant to Chapter 11 of the Bankruptcy Code (the "Plan"), which was confirmed by the United States Bankruptcy Court for the District of Delaware on February 7, 2024 and became effective on May 7, 2024, each share of the Issuer's common stock and options to purchase the Issuer's common stock outstanding prior to the Issuer's emergence from bankruptcy were cancelled for no value.

F2: (continued from footnote 1) In addition, pursuant to the Plan, $20,000,000 of the claims arising from that certain Senior Secured Super Priority Debtor In Possession Loan Agreement, dated as of August 9, 2023 (the "DIP Credit Agreement"), by and among the Borrowers, the Guarantors and Euagore, LLC ("Euagore" and such other lenders from time to time party thereto, the "DIP Lenders"), an affiliate of Foris Ventures, LLC ("FV"), were converted into 100% of the new common stock of the reorganized Issuer and issued to the DIP Lenders (or their assignee) on the effective date of the Plan.

F3: L. John Doerr ("John Doerr") indirectly holds all of the membership interests in Foris Ventures, LLC ("FV"). John Doerr disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F4: Barbara Hager, the manager of FV, may be deemed to have sole power to vote and dispose of the shares held by FV. The Vallejo Ventures Trust U/T/A 2/12/96 ("VVT"), the member of FV, may be deemed to have sole power to vote and dispose of these securities and John Doerr and Ann Doerr, the trustees of VVT, and Barbara Hager, the special trustee of VVT, may be deemed to have shared power to vote and dispose of the reported securities. Each of John Doerr, Ann Doerr and Barbara Hager disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. FV and VVT are represented on the Issuer's board of directors by John Doerr. Accordingly, each of Ann Doerr, Barbara Hager, FV and VVT are deemed to be a director by deputization.

Common StockSEC Table I · non-derivativeIndirectby KPCB XII Founders Fund, LLC0 Reported balance After 2024-05-07 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2024-05-07 · Disposition to issuer · Disposed 4,531 · Balance 0

F1: Pursuant to the Issuer's Third Amended Joint Plan of Reorganization Pursuant to Chapter 11 of the Bankruptcy Code (the "Plan"), which was confirmed by the United States Bankruptcy Court for the District of Delaware on February 7, 2024 and became effective on May 7, 2024, each share of the Issuer's common stock and options to purchase the Issuer's common stock outstanding prior to the Issuer's emergence from bankruptcy were cancelled for no value.

F2: (continued from footnote 1) In addition, pursuant to the Plan, $20,000,000 of the claims arising from that certain Senior Secured Super Priority Debtor In Possession Loan Agreement, dated as of August 9, 2023 (the "DIP Credit Agreement"), by and among the Borrowers, the Guarantors and Euagore, LLC ("Euagore" and such other lenders from time to time party thereto, the "DIP Lenders"), an affiliate of Foris Ventures, LLC ("FV"), were converted into 100% of the new common stock of the reorganized Issuer and issued to the DIP Lenders (or their assignee) on the effective date of the Plan.

F5: The Managing Member of KPCB XII Founders Fund, LLC is KPCB XII Associates, LLC, of which John Doerr is the managing member. John Doerr disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the account of entities affiliated with Kleiner Perkins Caufield & Byers and others. KPCB Holdings, Inc. has no voting, dispositive or pecuniary interest in any such shares.

Common StockSEC Table I · non-derivativeIndirectby Kleiner Perkins Caufield and Byers XII, LLC0 Reported balance After 2024-05-07 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 4 · 2024-05-07 · Disposition to issuer · Disposed 248,304 · Balance 0

F1: Pursuant to the Issuer's Third Amended Joint Plan of Reorganization Pursuant to Chapter 11 of the Bankruptcy Code (the "Plan"), which was confirmed by the United States Bankruptcy Court for the District of Delaware on February 7, 2024 and became effective on May 7, 2024, each share of the Issuer's common stock and options to purchase the Issuer's common stock outstanding prior to the Issuer's emergence from bankruptcy were cancelled for no value.

F2: (continued from footnote 1) In addition, pursuant to the Plan, $20,000,000 of the claims arising from that certain Senior Secured Super Priority Debtor In Possession Loan Agreement, dated as of August 9, 2023 (the "DIP Credit Agreement"), by and among the Borrowers, the Guarantors and Euagore, LLC ("Euagore" and such other lenders from time to time party thereto, the "DIP Lenders"), an affiliate of Foris Ventures, LLC ("FV"), were converted into 100% of the new common stock of the reorganized Issuer and issued to the DIP Lenders (or their assignee) on the effective date of the Plan.

F6: The Managing Member of Kleiner Perkins Caufield & Byers XII, LLC is KPCB XII Associates, LLC, of which John Doerr is the managing member. John Doerr disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the account of entities affiliated with Kleiner Perkins Caufield & Byers and others. KPCB Holdings, Inc. has no voting, dispositive or pecuniary interest in any such shares.

Common StockSEC Table I · non-derivativeIndirectby Perrara Ventures, LLC0 Reported balance After 2024-05-07 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 5 · 2024-05-07 · Disposition to issuer · Disposed 3,333,333 · Balance 0

F1: Pursuant to the Issuer's Third Amended Joint Plan of Reorganization Pursuant to Chapter 11 of the Bankruptcy Code (the "Plan"), which was confirmed by the United States Bankruptcy Court for the District of Delaware on February 7, 2024 and became effective on May 7, 2024, each share of the Issuer's common stock and options to purchase the Issuer's common stock outstanding prior to the Issuer's emergence from bankruptcy were cancelled for no value.

F2: (continued from footnote 1) In addition, pursuant to the Plan, $20,000,000 of the claims arising from that certain Senior Secured Super Priority Debtor In Possession Loan Agreement, dated as of August 9, 2023 (the "DIP Credit Agreement"), by and among the Borrowers, the Guarantors and Euagore, LLC ("Euagore" and such other lenders from time to time party thereto, the "DIP Lenders"), an affiliate of Foris Ventures, LLC ("FV"), were converted into 100% of the new common stock of the reorganized Issuer and issued to the DIP Lenders (or their assignee) on the effective date of the Plan.

F7: John Doerr indirectly holds all of the membership interests in Perrara Ventures, LLC. John Doerr disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectby Clarus, LLC0 Reported balance After 2024-05-07 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 6 · 2024-05-07 · Disposition to issuer · Disposed 9,648 · Balance 0

F1: Pursuant to the Issuer's Third Amended Joint Plan of Reorganization Pursuant to Chapter 11 of the Bankruptcy Code (the "Plan"), which was confirmed by the United States Bankruptcy Court for the District of Delaware on February 7, 2024 and became effective on May 7, 2024, each share of the Issuer's common stock and options to purchase the Issuer's common stock outstanding prior to the Issuer's emergence from bankruptcy were cancelled for no value.

F2: (continued from footnote 1) In addition, pursuant to the Plan, $20,000,000 of the claims arising from that certain Senior Secured Super Priority Debtor In Possession Loan Agreement, dated as of August 9, 2023 (the "DIP Credit Agreement"), by and among the Borrowers, the Guarantors and Euagore, LLC ("Euagore" and such other lenders from time to time party thereto, the "DIP Lenders"), an affiliate of Foris Ventures, LLC ("FV"), were converted into 100% of the new common stock of the reorganized Issuer and issued to the DIP Lenders (or their assignee) on the effective date of the Plan.

F8: John Doerr and Ann Doerr are the trustees of VVT, which is the member of Clarus, LLC. Barbara Hager is the special trustee of VVT and manager of FV. By virtue of these relationships, John Doerr, Ann Doerr and Barbara Hager may be deemed to have the power to vote and dispose of shares held by Clarus, LLC. Each of John Doerr, Ann Doerr and Barbara Hager disclaims beneficial ownership of the shares held by Clarus, LLC except to the extent of their pecuniary interest therein, if any.

Common StockSEC Table I · non-derivativeIndirectby The Vallejo Ventures Trust U/T/A 2/12/960 Reported balance After 2024-05-07 transaction · row 7 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 7 · 2024-05-07 · Disposition to issuer · Disposed 567 · Balance 0

F1: Pursuant to the Issuer's Third Amended Joint Plan of Reorganization Pursuant to Chapter 11 of the Bankruptcy Code (the "Plan"), which was confirmed by the United States Bankruptcy Court for the District of Delaware on February 7, 2024 and became effective on May 7, 2024, each share of the Issuer's common stock and options to purchase the Issuer's common stock outstanding prior to the Issuer's emergence from bankruptcy were cancelled for no value.

F2: (continued from footnote 1) In addition, pursuant to the Plan, $20,000,000 of the claims arising from that certain Senior Secured Super Priority Debtor In Possession Loan Agreement, dated as of August 9, 2023 (the "DIP Credit Agreement"), by and among the Borrowers, the Guarantors and Euagore, LLC ("Euagore" and such other lenders from time to time party thereto, the "DIP Lenders"), an affiliate of Foris Ventures, LLC ("FV"), were converted into 100% of the new common stock of the reorganized Issuer and issued to the DIP Lenders (or their assignee) on the effective date of the Plan.

F9: John Doerr and Ann Doerr are the trustees of VVT. Barbara Hager is the special trustee of VVT and manager of FV. By virtue of these relationships, John Doerr, Ann Doerr and Barbara Hager may be deemed to have the power to vote and dispose of shares held by VVT. Each of John Doerr, Ann Doerr and Barbara Hager disclaims beneficial ownership of the shares held by VVT except to the extent of their pecuniary interest therein, if any.

Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.30 · Expires 2025-09-13Indirectby Foris Ventures, LLC0 Reported balance After 2024-05-07 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2024-05-07 · Disposition to issuer · Disposed 2,046,036 · Balance 0

F1: Pursuant to the Issuer's Third Amended Joint Plan of Reorganization Pursuant to Chapter 11 of the Bankruptcy Code (the "Plan"), which was confirmed by the United States Bankruptcy Court for the District of Delaware on February 7, 2024 and became effective on May 7, 2024, each share of the Issuer's common stock and options to purchase the Issuer's common stock outstanding prior to the Issuer's emergence from bankruptcy were cancelled for no value.

F2: (continued from footnote 1) In addition, pursuant to the Plan, $20,000,000 of the claims arising from that certain Senior Secured Super Priority Debtor In Possession Loan Agreement, dated as of August 9, 2023 (the "DIP Credit Agreement"), by and among the Borrowers, the Guarantors and Euagore, LLC ("Euagore" and such other lenders from time to time party thereto, the "DIP Lenders"), an affiliate of Foris Ventures, LLC ("FV"), were converted into 100% of the new common stock of the reorganized Issuer and issued to the DIP Lenders (or their assignee) on the effective date of the Plan.

F10: This warrant was issued in connection with the entry into that certain Loan and Security Agreement dated September 13, 2022 among the Issuer, certain subsidiaries of the Issuer and Foris Ventures, LLC.

F3: L. John Doerr ("John Doerr") indirectly holds all of the membership interests in Foris Ventures, LLC ("FV"). John Doerr disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F4: Barbara Hager, the manager of FV, may be deemed to have sole power to vote and dispose of the shares held by FV. The Vallejo Ventures Trust U/T/A 2/12/96 ("VVT"), the member of FV, may be deemed to have sole power to vote and dispose of these securities and John Doerr and Ann Doerr, the trustees of VVT, and Barbara Hager, the special trustee of VVT, may be deemed to have shared power to vote and dispose of the reported securities. Each of John Doerr, Ann Doerr and Barbara Hager disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. FV and VVT are represented on the Issuer's board of directors by John Doerr. Accordingly, each of Ann Doerr, Barbara Hager, FV and VVT are deemed to be a director by deputization.

Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.80 · Expires 2027-12-30Indirectby Foris Ventures, LLC0 Reported balance After 2024-05-07 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2024-05-07 · Disposition to issuer · Disposed 10,000,000 · Balance 0

F1: Pursuant to the Issuer's Third Amended Joint Plan of Reorganization Pursuant to Chapter 11 of the Bankruptcy Code (the "Plan"), which was confirmed by the United States Bankruptcy Court for the District of Delaware on February 7, 2024 and became effective on May 7, 2024, each share of the Issuer's common stock and options to purchase the Issuer's common stock outstanding prior to the Issuer's emergence from bankruptcy were cancelled for no value.

F2: (continued from footnote 1) In addition, pursuant to the Plan, $20,000,000 of the claims arising from that certain Senior Secured Super Priority Debtor In Possession Loan Agreement, dated as of August 9, 2023 (the "DIP Credit Agreement"), by and among the Borrowers, the Guarantors and Euagore, LLC ("Euagore" and such other lenders from time to time party thereto, the "DIP Lenders"), an affiliate of Foris Ventures, LLC ("FV"), were converted into 100% of the new common stock of the reorganized Issuer and issued to the DIP Lenders (or their assignee) on the effective date of the Plan.

F12: On December 29, 2022, the Issuer entered into a security purchase agreement with FV, pursuant to which the Issuer issued and sold to FV in a private placement (i) 13,333,334 shares of the Issuer's common stock (the "Common Stock") and (ii) a warrant to purchase up to 10,000,000 shares of Common Stock, for an aggregate purchase price of $20,000,000.

F11: The warrant is exercisable at a price of $1.80 per full share of Common Stock at any time after the date of issuance for a period of five years.

F3: L. John Doerr ("John Doerr") indirectly holds all of the membership interests in Foris Ventures, LLC ("FV"). John Doerr disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F4: Barbara Hager, the manager of FV, may be deemed to have sole power to vote and dispose of the shares held by FV. The Vallejo Ventures Trust U/T/A 2/12/96 ("VVT"), the member of FV, may be deemed to have sole power to vote and dispose of these securities and John Doerr and Ann Doerr, the trustees of VVT, and Barbara Hager, the special trustee of VVT, may be deemed to have shared power to vote and dispose of the reported securities. Each of John Doerr, Ann Doerr and Barbara Hager disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. FV and VVT are represented on the Issuer's board of directors by John Doerr. Accordingly, each of Ann Doerr, Barbara Hager, FV and VVT are deemed to be a director by deputization.

2019 LSASEC Table II · derivative / convertible security · Conversion / exercise price $3.00 · Expires 2024-07-01Indirectby Foris Ventures, LLC0 Reported balance After 2024-05-07 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2024-05-07 · Disposition to issuer · Disposed Not disclosed · Balance 0

F1: Pursuant to the Issuer's Third Amended Joint Plan of Reorganization Pursuant to Chapter 11 of the Bankruptcy Code (the "Plan"), which was confirmed by the United States Bankruptcy Court for the District of Delaware on February 7, 2024 and became effective on May 7, 2024, each share of the Issuer's common stock and options to purchase the Issuer's common stock outstanding prior to the Issuer's emergence from bankruptcy were cancelled for no value.

F2: (continued from footnote 1) In addition, pursuant to the Plan, $20,000,000 of the claims arising from that certain Senior Secured Super Priority Debtor In Possession Loan Agreement, dated as of August 9, 2023 (the "DIP Credit Agreement"), by and among the Borrowers, the Guarantors and Euagore, LLC ("Euagore" and such other lenders from time to time party thereto, the "DIP Lenders"), an affiliate of Foris Ventures, LLC ("FV"), were converted into 100% of the new common stock of the reorganized Issuer and issued to the DIP Lenders (or their assignee) on the effective date of the Plan.

F13: Represents the total amount of indebtedness outstanding, including accrued and unpaid interest as well as penalties, as of January 3, 2024, under that certain Amended and Restated Loan and Security Agreement, dated as of October 28, 2019 (as it may be further amended, restated or otherwise modified, the "2019 LSA"), by and among the Issuer, FV, as lender, and the other parties thereto. Such indebtedness was convertible into shares of Common Stock at a fixed conversion price of $3.00 per share of Common Stock the estimated aggregate principal amount and interest and penalties as of January 3, 2024 outstanding.

F14: (continued from footnote 13 ) The 2019 LSA bears interest at 6.0% per annum, subject to certain default interest provisions in the event of a default under the 2019 LSA. The Issuer's filing of the Chapter 11 Cases (as defined below) was an event of default under the 2019 LSA which automatically accelerated the payment date of unpaid principal and interest as well as applying certain penalties, including adding an amount equal to 6.0% of the past due amount and increasing the interest rate to 12.0%, compounded daily.

F3: L. John Doerr ("John Doerr") indirectly holds all of the membership interests in Foris Ventures, LLC ("FV"). John Doerr disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F4: Barbara Hager, the manager of FV, may be deemed to have sole power to vote and dispose of the shares held by FV. The Vallejo Ventures Trust U/T/A 2/12/96 ("VVT"), the member of FV, may be deemed to have sole power to vote and dispose of these securities and John Doerr and Ann Doerr, the trustees of VVT, and Barbara Hager, the special trustee of VVT, may be deemed to have shared power to vote and dispose of the reported securities. Each of John Doerr, Ann Doerr and Barbara Hager disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. FV and VVT are represented on the Issuer's board of directors by John Doerr. Accordingly, each of Ann Doerr, Barbara Hager, FV and VVT are deemed to be a director by deputization.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Issuer's Third Amended Joint Plan of Reorganization Pursuant to Chapter 11 of the Bankruptcy Code (the "Plan"), which was confirmed by the United States Bankruptcy Court for the District of Delaware on February 7, 2024 and became effective on May 7, 2024, each share of the Issuer's common stock and options to purchase the Issuer's common stock outstanding prior to the Issuer's emergence from bankruptcy were cancelled for no value.

F2: (continued from footnote 1) In addition, pursuant to the Plan, $20,000,000 of the claims arising from that certain Senior Secured Super Priority Debtor In Possession Loan Agreement, dated as of August 9, 2023 (the "DIP Credit Agreement"), by and among the Borrowers, the Guarantors and Euagore, LLC ("Euagore" and such other lenders from time to time party thereto, the "DIP Lenders"), an affiliate of Foris Ventures, LLC ("FV"), were converted into 100% of the new common stock of the reorganized Issuer and issued to the DIP Lenders (or their assignee) on the effective date of the Plan.

F3: L. John Doerr ("John Doerr") indirectly holds all of the membership interests in Foris Ventures, LLC ("FV"). John Doerr disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F4: Barbara Hager, the manager of FV, may be deemed to have sole power to vote and dispose of the shares held by FV. The Vallejo Ventures Trust U/T/A 2/12/96 ("VVT"), the member of FV, may be deemed to have sole power to vote and dispose of these securities and John Doerr and Ann Doerr, the trustees of VVT, and Barbara Hager, the special trustee of VVT, may be deemed to have shared power to vote and dispose of the reported securities. Each of John Doerr, Ann Doerr and Barbara Hager disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. FV and VVT are represented on the Issuer's board of directors by John Doerr. Accordingly, each of Ann Doerr, Barbara Hager, FV and VVT are deemed to be a director by deputization.

F5: The Managing Member of KPCB XII Founders Fund, LLC is KPCB XII Associates, LLC, of which John Doerr is the managing member. John Doerr disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the account of entities affiliated with Kleiner Perkins Caufield & Byers and others. KPCB Holdings, Inc. has no voting, dispositive or pecuniary interest in any such shares.

F6: The Managing Member of Kleiner Perkins Caufield & Byers XII, LLC is KPCB XII Associates, LLC, of which John Doerr is the managing member. John Doerr disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the account of entities affiliated with Kleiner Perkins Caufield & Byers and others. KPCB Holdings, Inc. has no voting, dispositive or pecuniary interest in any such shares.

F7: John Doerr indirectly holds all of the membership interests in Perrara Ventures, LLC. John Doerr disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F8: John Doerr and Ann Doerr are the trustees of VVT, which is the member of Clarus, LLC. Barbara Hager is the special trustee of VVT and manager of FV. By virtue of these relationships, John Doerr, Ann Doerr and Barbara Hager may be deemed to have the power to vote and dispose of shares held by Clarus, LLC. Each of John Doerr, Ann Doerr and Barbara Hager disclaims beneficial ownership of the shares held by Clarus, LLC except to the extent of their pecuniary interest therein, if any.

F9: John Doerr and Ann Doerr are the trustees of VVT. Barbara Hager is the special trustee of VVT and manager of FV. By virtue of these relationships, John Doerr, Ann Doerr and Barbara Hager may be deemed to have the power to vote and dispose of shares held by VVT. Each of John Doerr, Ann Doerr and Barbara Hager disclaims beneficial ownership of the shares held by VVT except to the extent of their pecuniary interest therein, if any.

F10: This warrant was issued in connection with the entry into that certain Loan and Security Agreement dated September 13, 2022 among the Issuer, certain subsidiaries of the Issuer and Foris Ventures, LLC.

F11: The warrant is exercisable at a price of $1.80 per full share of Common Stock at any time after the date of issuance for a period of five years.

F12: On December 29, 2022, the Issuer entered into a security purchase agreement with FV, pursuant to which the Issuer issued and sold to FV in a private placement (i) 13,333,334 shares of the Issuer's common stock (the "Common Stock") and (ii) a warrant to purchase up to 10,000,000 shares of Common Stock, for an aggregate purchase price of $20,000,000.

F13: Represents the total amount of indebtedness outstanding, including accrued and unpaid interest as well as penalties, as of January 3, 2024, under that certain Amended and Restated Loan and Security Agreement, dated as of October 28, 2019 (as it may be further amended, restated or otherwise modified, the "2019 LSA"), by and among the Issuer, FV, as lender, and the other parties thereto. Such indebtedness was convertible into shares of Common Stock at a fixed conversion price of $3.00 per share of Common Stock the estimated aggregate principal amount and interest and penalties as of January 3, 2024 outstanding.

F14: (continued from footnote 13 ) The 2019 LSA bears interest at 6.0% per annum, subject to certain default interest provisions in the event of a default under the 2019 LSA. The Issuer's filing of the Chapter 11 Cases (as defined below) was an event of default under the 2019 LSA which automatically accelerated the payment date of unpaid principal and interest as well as applying certain penalties, including adding an amount equal to 6.0% of the past due amount and increasing the interest rate to 12.0%, compounded daily.

ZYNGA INC

Report date May 01, 2017 · Filed May 03, 2017

Section 16 reporting ended · disclosed 2017-05-03. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect1,304,758 Reported balance After 2017-05-01 transaction · row 1
1 source row

Row 1 · 2017-05-01 · Exercise / conversion · Acquired 19,084 · Balance 1,304,758

F1: Each restricted stock unit represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon vest.

Restricted Stock UnitSEC Table II · derivative / convertible security · Expires 2023-06-09Direct0 Reported balance After 2017-05-01 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2017-05-01 · Exercise / conversion · Disposed 19,084 · Balance 0

F1: Each restricted stock unit represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon vest.

F7: The restricted stock units vest as follows: 25% of the restricted stock units vest on September 9, 2016, 25% of the restricted stock units vest on December 9, 2016, 25% of the restricted stock units vest on March 9, 2017 and 25% of the restricted stock units vest on the earlier of June 9, 2017 or the date of the Issuer's next annual meeting, subject to continued service to the Issuer through each vesting date.

Class A Common StockSEC Table I · non-derivativeIndirectBy 2750 Sand Hill Associates II, LLC20,679 Reported balance Holding disclosure · report date 2017-05-01 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 20,679

F2: The Reporting Person is the manager of 2750 Sand Hill Associates II, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectBy Clarus, LLC9,548,249 Reported balance Holding disclosure · report date 2017-05-01 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 9,548,249

F3: The Reporting Person is the manager of Clarus, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectBy Meja, LLC23,563 Reported balance Holding disclosure · report date 2017-05-01 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · Balance 23,563

F4: The Reporting Person is the manager of Meja, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectBy Rolou, LLC11,785 Reported balance Holding disclosure · report date 2017-05-01 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · Balance 11,785

F5: The Reporting Person is the manager of Rolou, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectBy Portico Ventures LLC32,671 Reported balance Holding disclosure · report date 2017-05-01 · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · Balance 32,671

F6: The Reporting Person is the manager of Portico Ventures, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Each restricted stock unit represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon vest.

F2: The Reporting Person is the manager of 2750 Sand Hill Associates II, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F3: The Reporting Person is the manager of Clarus, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F4: The Reporting Person is the manager of Meja, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F5: The Reporting Person is the manager of Rolou, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F6: The Reporting Person is the manager of Portico Ventures, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F7: The restricted stock units vest as follows: 25% of the restricted stock units vest on September 9, 2016, 25% of the restricted stock units vest on December 9, 2016, 25% of the restricted stock units vest on March 9, 2017 and 25% of the restricted stock units vest on the earlier of June 9, 2017 or the date of the Issuer's next annual meeting, subject to continued service to the Issuer through each vesting date.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
May 21, 2021 Filed Jun 3, 2021 21:00 UTC QuantumScape Corp QS · Entity 4158 OtherClass A Common Stock 5,070,533 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-037736 · doc4.xml · nonDerivative · entry 2

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: 0

F2 · kind: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by KPCB XIV and KPCB XIV FF without consideration to their members (the "Fund Distribution").

F1 · ownership.nature: The shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the accounts of Kleiner Perkins Caufield & Byers XIV, LLC ("KPCB XIV") and KPCB XIV Founders Fund, LLC ("KPCB XIV FF") (collectively, the "KPCB Entities"). The managing member of KPCB XIV and KPCB XIV FF is KPCB XIV Associates, LLC ("KPCB XIV Associates"). The Reporting Person, a managing member of KPCB XIV Associates, exercises shared voting and dispositive control over the shares held by the KPCB Entities.

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May 21, 2021 Filed Jun 3, 2021 21:00 UTC QuantumScape Corp QS · Entity 4158 ConversionClass A Common Stock 3,138,332 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-037736 · doc4.xml · nonDerivative · entry 1

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: 5,070,533

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: The shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the accounts of Kleiner Perkins Caufield & Byers XIV, LLC ("KPCB XIV") and KPCB XIV Founders Fund, LLC ("KPCB XIV FF") (collectively, the "KPCB Entities"). The managing member of KPCB XIV and KPCB XIV FF is KPCB XIV Associates, LLC ("KPCB XIV Associates"). The Reporting Person, a managing member of KPCB XIV Associates, exercises shared voting and dispositive control over the shares held by the KPCB Entities.

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May 18, 2021 Filed May 20, 2021 23:06 UTC DoorDash, Inc. DASH · Entity 1541 OtherClass A Common Stock 264,831 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-034610 · doc4.xml · nonDerivative · entry 5

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 449,740

F8 · kind: Represents the receipt of shares of Class A Common Stock of the Issuer by virtue of the Fund Distribution and the DGF II Associates Distribution.

F9 · ownership.nature: Shares are held by investment entities controlled by the Reporting Person.

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May 18, 2021 Filed May 20, 2021 23:06 UTC DoorDash, Inc. DASH · Entity 1541 OtherClass A Common Stock 117,542 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-034610 · doc4.xml · nonDerivative · entry 4

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 199,631

F6 · kind: Represents the receipt of shares of Class A Common Stock of the Issuer by virtue of the receipt of shares in the DGF II Associates distribution.

F7 · ownership.nature: Shares are held by the Vallejo Ventures Trust for which the Reporting Person and his spouse serve as trustees.

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May 18, 2021 Filed May 20, 2021 23:06 UTC DoorDash, Inc. DASH · Entity 1541 OtherClass A Common Stock 727,236 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-034610 · doc4.xml · nonDerivative · entry 3

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 201,393

F5 · kind: Represents a pro-rata in-kind distribution of Class A Common Stock of the Issuer by DGF II Associates without consideration to its members (the "DGF II Associates Distribution").

F4 · ownership.nature: The shares are held directly by DGF II Associates. The Reporting Person is a managing member of DGF II Associates and may be deemed to share voting and investment power over the securities held by DGF II Associates. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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May 18, 2021 Filed May 20, 2021 23:06 UTC DoorDash, Inc. DASH · Entity 1541 OtherClass A Common Stock 845,821 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-034610 · doc4.xml · nonDerivative · entry 2

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 928,629

F3 · kind: Represents a change in the form of ownership from indirect to direct by virtue of the receipt of shares in the Fund Distribution.

F4 · ownership.nature: The shares are held directly by DGF II Associates. The Reporting Person is a managing member of DGF II Associates and may be deemed to share voting and investment power over the securities held by DGF II Associates. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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May 18, 2021 Filed May 20, 2021 23:06 UTC DoorDash, Inc. DASH · Entity 1541 OtherClass A Common Stock 3,469,320 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-034610 · doc4.xml · nonDerivative · entry 1

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 164,595

F1 · kind: Represents a pro-rata in-kind distribution of Class A Common Stock of the Issuer by KPCB Digital Growth Fund II, LLC ("KPCB Growth") and KPCB DGF Founders Fund II, LLC ("KPCB FF") without consideration to their members (the "Fund Distribution").

F2 · ownership.nature: The shares are held for convenience in the name of KPCB Holdings, Inc., as nominee for the accounts of KPCB Digital Growth Fund II, LLC and KPCB Digital Growth Founders Fund II, LLC, (collectively, the "KPCB Entities"). As a managing member of KPCB DGF II Associates, LLC ("DGF II Associates"), the managing member of the KPCB Entities, the Reporting Person shares voting and dispositive control with respect to the shares held by KPCB Holdings, Inc., as nominee. The Reporting Person disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.

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May 11, 2021 Filed May 14, 2021 00:10 UTC Coursera, Inc. COUR · Entity 4586 OtherCommon Stock 110,138 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-019438 · doc4.xml · nonDerivative · entry 9

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 110,138

F12 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the Fund Distribution.

F13 · ownership.nature: The sole member of Portico Libre, LLC is Vallejo Ventures Trust. The Reporting Person is a trustee of the Vallejo Ventures Trust. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

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May 11, 2021 Filed May 14, 2021 00:10 UTC Coursera, Inc. COUR · Entity 4586 OtherCommon Stock 291 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-019438 · doc4.xml · nonDerivative · entry 8

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 291

F6 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the Associates Distribution.

F11 · ownership.nature: The managing member of Lupum Ventures, LLC is Vallejo Ventures Trust. The Reporting Person is a trustee of the Vallejo Ventures Trust. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Read SEC document
May 11, 2021 Filed May 14, 2021 00:10 UTC Coursera, Inc. COUR · Entity 4586 OtherCommon Stock 3,110 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-019438 · doc4.xml · nonDerivative · entry 7

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,110

F6 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the Associates Distribution.

F10 · ownership.nature: The sole member of KPIC, LLC is Vallejo Ventures Trust. The Reporting Person is a trustee of the Vallejo Ventures Trust. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Read SEC document
May 11, 2021 Filed May 14, 2021 00:10 UTC Coursera, Inc. COUR · Entity 4586 OtherCommon Stock 25,761 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-019438 · doc4.xml · nonDerivative · entry 6

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 25,761

F6 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the Associates Distribution.

F9 · ownership.nature: Shares are held by Vallejo Ventures Trust for which the Reporting Person and his spouse serve as trustee.

Read SEC document
May 11, 2021 Filed May 14, 2021 00:10 UTC Coursera, Inc. COUR · Entity 4586 OtherCommon Stock 2,779 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-019438 · doc4.xml · nonDerivative · entry 5

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,779

F6 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the Associates Distribution.

F8 · ownership.nature: Shares are held by The Hampton 1999 Trust Dated May 25, 1999 for which the Reporting Person serves as trustee.

Read SEC document
May 11, 2021 Filed May 14, 2021 00:10 UTC Coursera, Inc. COUR · Entity 4586 OtherCommon Stock 2,779 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-019438 · doc4.xml · nonDerivative · entry 4

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,779

F6 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the Associates Distribution.

F7 · ownership.nature: Shares are held by The Austin 1999 Trust Dated May 25, 1999 for which the Reporting Person serves as trustee.

Read SEC document
May 11, 2021 Filed May 14, 2021 00:10 UTC Coursera, Inc. COUR · Entity 4586 OtherCommon Stock 247,562 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-019438 · doc4.xml · nonDerivative · entry 3

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,529

F5 · kind: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by KPCB XIV Associates without consideration to its members (the "Associates Distribution").

F4 · ownership.direct: The shares are held directly by KPCB XIV Associates. The Reporting Person is a managing member of KPCB XIV Associates and may be deemed to share voting and investment power over the securities held by KPCB XIV Associates. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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May 11, 2021 Filed May 14, 2021 00:10 UTC Coursera, Inc. COUR · Entity 4586 OtherCommon Stock 282,091 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-019438 · doc4.xml · nonDerivative · entry 2

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 282,091

F3 · kind: Represents a change in the form of ownership from indirect to direct by virtue of the receipt of shares in the Fund Distribution.

F4 · ownership.direct: The shares are held directly by KPCB XIV Associates. The Reporting Person is a managing member of KPCB XIV Associates and may be deemed to share voting and investment power over the securities held by KPCB XIV Associates. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
May 11, 2021 Filed May 14, 2021 00:10 UTC Coursera, Inc. COUR · Entity 4586 OtherCommon Stock 1,000,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-019438 · doc4.xml · nonDerivative · entry 1

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 9,635,143

F1 · kind: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Kleiner Perkins Caufield & Byers XIV, LLC ("KPCB XIV") and KPCB XIV Founders Fund, LLC ("KPCB XIV FF") without consideration to their members (the "Fund Distribution").

F2 · ownership.nature: The shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the accounts of KPCB XIV and KPCB XIV FF (collectively, the "KPCB Entities"). The managing member of KPCB XIV and KPCB XIV FF is KPCB XIV Associates, LLC ("KPCB XIV Associates"). The Reporting Person, a managing member of KPCB XIV Associates, exercises shared voting and dispositive control over the shares held by the KPCB Entities.

Read SEC document
April 05, 2021 Filed Apr 5, 2021 20:09 UTC Coursera, Inc. COUR · Entity 4586 ConversionSeries F Preferred Stock · Derivative 578,081 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-014804 · doc4.xml · derivative · entry 8

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 578,081 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Consists of shares of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, and Series F Preferred Stock (collectively, the "Preferred Stock") that converted to Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer' initial public offering (the "IPO").

F1 · derivative.exercise_date: Consists of shares of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, and Series F Preferred Stock (collectively, the "Preferred Stock") that converted to Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer' initial public offering (the "IPO").

F1 · derivative.expiration_date: Consists of shares of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, and Series F Preferred Stock (collectively, the "Preferred Stock") that converted to Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer' initial public offering (the "IPO").

F3 · ownership.nature: Consists of 9,805,602 shares of Common Stock issued upon the conversion of shares of Preferred Stock held by Kleiner Perkins Caufield & Byers XIV, LLC ("KPCB XIV") and 829,541 shares of Common Stock issued upon the conversion of shares of Preferred Stock held by KPCB XIV Founders Fund, LLC ("KPCB XIV FF"). All shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the accounts of such entities. The managing member of KPCB XIV and KPCB XIV FF is KPCB XIV Associates, LLC ("KPCB XIV Associates"). L. John Doerr, a managing member of KPCB XIV Associates, exercises shared voting and dispositive control over the shares held by KPCB XIV and KPCB XIV FF.

F8 · ownership.nature: Consisted of 532,991 shares held of record by KPCB XIV and 45,090 shares held of record by KPCB XIV FF.

Read SEC document
April 05, 2021 Filed Apr 5, 2021 20:09 UTC Coursera, Inc. COUR · Entity 4586 ConversionSeries D Preferred Stock · Derivative 66,667 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-014804 · doc4.xml · derivative · entry 7

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 66,667 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Consists of shares of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, and Series F Preferred Stock (collectively, the "Preferred Stock") that converted to Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer' initial public offering (the "IPO").

F1 · derivative.exercise_date: Consists of shares of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, and Series F Preferred Stock (collectively, the "Preferred Stock") that converted to Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer' initial public offering (the "IPO").

F1 · derivative.expiration_date: Consists of shares of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, and Series F Preferred Stock (collectively, the "Preferred Stock") that converted to Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer' initial public offering (the "IPO").

F3 · ownership.nature: Consists of 9,805,602 shares of Common Stock issued upon the conversion of shares of Preferred Stock held by Kleiner Perkins Caufield & Byers XIV, LLC ("KPCB XIV") and 829,541 shares of Common Stock issued upon the conversion of shares of Preferred Stock held by KPCB XIV Founders Fund, LLC ("KPCB XIV FF"). All shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the accounts of such entities. The managing member of KPCB XIV and KPCB XIV FF is KPCB XIV Associates, LLC ("KPCB XIV Associates"). L. John Doerr, a managing member of KPCB XIV Associates, exercises shared voting and dispositive control over the shares held by KPCB XIV and KPCB XIV FF.

F7 · ownership.nature: Consisted of 61,467 shares held of record by KPCB XIV and 5,200 shares held of record by KPCB XIV FF.

Read SEC document
April 05, 2021 Filed Apr 5, 2021 20:09 UTC Coursera, Inc. COUR · Entity 4586 ConversionSeries C Preferred Stock · Derivative 196,329 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-014804 · doc4.xml · derivative · entry 6

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By WindyHill LLC

Disclosed balance after: 0

Underlying: Common Stock · 196,329 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Consists of shares of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, and Series F Preferred Stock (collectively, the "Preferred Stock") that converted to Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer' initial public offering (the "IPO").

F2 · derivative.exercise_date: Consists of shares of Series C Preferred Stock that converted to Common Stock on a 1-for-1 basis immediately prior to the closing of the IPO.

F2 · derivative.expiration_date: Consists of shares of Series C Preferred Stock that converted to Common Stock on a 1-for-1 basis immediately prior to the closing of the IPO.

Read SEC document
April 05, 2021 Filed Apr 5, 2021 20:09 UTC Coursera, Inc. COUR · Entity 4586 ConversionSeries C Preferred Stock · Derivative 196,329 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-014804 · doc4.xml · derivative · entry 5

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 196,329 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Consists of shares of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, and Series F Preferred Stock (collectively, the "Preferred Stock") that converted to Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer' initial public offering (the "IPO").

F1 · derivative.exercise_date: Consists of shares of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, and Series F Preferred Stock (collectively, the "Preferred Stock") that converted to Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer' initial public offering (the "IPO").

F1 · derivative.expiration_date: Consists of shares of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, and Series F Preferred Stock (collectively, the "Preferred Stock") that converted to Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer' initial public offering (the "IPO").

F3 · ownership.nature: Consists of 9,805,602 shares of Common Stock issued upon the conversion of shares of Preferred Stock held by Kleiner Perkins Caufield & Byers XIV, LLC ("KPCB XIV") and 829,541 shares of Common Stock issued upon the conversion of shares of Preferred Stock held by KPCB XIV Founders Fund, LLC ("KPCB XIV FF"). All shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the accounts of such entities. The managing member of KPCB XIV and KPCB XIV FF is KPCB XIV Associates, LLC ("KPCB XIV Associates"). L. John Doerr, a managing member of KPCB XIV Associates, exercises shared voting and dispositive control over the shares held by KPCB XIV and KPCB XIV FF.

F6 · ownership.nature: Consisted of 181,015 shares held of record by KPCB XIV and 15,314 shares held of record by KPCB XIV FF.

Read SEC document
April 05, 2021 Filed Apr 5, 2021 20:09 UTC Coursera, Inc. COUR · Entity 4586 ConversionSeries B Preferred Stock · Derivative 203,961 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-014804 · doc4.xml · derivative · entry 4

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 203,961 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Consists of shares of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, and Series F Preferred Stock (collectively, the "Preferred Stock") that converted to Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer' initial public offering (the "IPO").

F1 · derivative.exercise_date: Consists of shares of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, and Series F Preferred Stock (collectively, the "Preferred Stock") that converted to Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer' initial public offering (the "IPO").

F1 · derivative.expiration_date: Consists of shares of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, and Series F Preferred Stock (collectively, the "Preferred Stock") that converted to Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer' initial public offering (the "IPO").

F3 · ownership.nature: Consists of 9,805,602 shares of Common Stock issued upon the conversion of shares of Preferred Stock held by Kleiner Perkins Caufield & Byers XIV, LLC ("KPCB XIV") and 829,541 shares of Common Stock issued upon the conversion of shares of Preferred Stock held by KPCB XIV Founders Fund, LLC ("KPCB XIV FF"). All shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the accounts of such entities. The managing member of KPCB XIV and KPCB XIV FF is KPCB XIV Associates, LLC ("KPCB XIV Associates"). L. John Doerr, a managing member of KPCB XIV Associates, exercises shared voting and dispositive control over the shares held by KPCB XIV and KPCB XIV FF.

F5 · ownership.nature: Consisted of 188,052 shares held of record by KPCB XIV and 15,909 shares held of record by KPCB XIV FF.

Read SEC document
April 05, 2021 Filed Apr 5, 2021 20:09 UTC Coursera, Inc. COUR · Entity 4586 ConversionSeries A Preferred Stock · Derivative 9,590,105 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-014804 · doc4.xml · derivative · entry 3

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 9,590,105 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Consists of shares of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, and Series F Preferred Stock (collectively, the "Preferred Stock") that converted to Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer' initial public offering (the "IPO").

F1 · derivative.exercise_date: Consists of shares of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, and Series F Preferred Stock (collectively, the "Preferred Stock") that converted to Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer' initial public offering (the "IPO").

F1 · derivative.expiration_date: Consists of shares of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, and Series F Preferred Stock (collectively, the "Preferred Stock") that converted to Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer' initial public offering (the "IPO").

F3 · ownership.nature: Consists of 9,805,602 shares of Common Stock issued upon the conversion of shares of Preferred Stock held by Kleiner Perkins Caufield & Byers XIV, LLC ("KPCB XIV") and 829,541 shares of Common Stock issued upon the conversion of shares of Preferred Stock held by KPCB XIV Founders Fund, LLC ("KPCB XIV FF"). All shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee" for the accounts of such entities. The managing member of KPCB XIV and KPCB XIV FF is KPCB XIV Associates, LLC ("KPCB XIV Associates"). L. John Doerr, a managing member of KPCB XIV Associates, exercises shared voting and dispositive control over the shares held by KPCB XIV and KPCB XIV FF.

F4 · ownership.nature: Consisted of 8,842,077 shares held of record by KPCB XIV and 748,028 shares held of record by KPCB XIV FF.

Read SEC document
April 05, 2021 Filed Apr 5, 2021 20:09 UTC Coursera, Inc. COUR · Entity 4586 ConversionCommon Stock 196,329 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-014804 · doc4.xml · nonDerivative · entry 2

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By WindyHill LLC

Disclosed balance after: 862,996

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: Consists of shares of Series C Preferred Stock that converted to Common Stock on a 1-for-1 basis immediately prior to the closing of the IPO.

Read SEC document
April 05, 2021 Filed Apr 5, 2021 20:09 UTC Coursera, Inc. COUR · Entity 4586 ConversionCommon Stock 10,635,143 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-014804 · doc4.xml · nonDerivative · entry 1

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,635,143

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Consists of shares of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, and Series F Preferred Stock (collectively, the "Preferred Stock") that converted to Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer' initial public offering (the "IPO").

F2 · ownership.nature: Consists of shares of Series C Preferred Stock that converted to Common Stock on a 1-for-1 basis immediately prior to the closing of the IPO.

Read SEC document
March 09, 2021 Filed Mar 12, 2021 01:32 UTC DoorDash, Inc. DASH · Entity 1541 OtherClass A Common Stock 184,909 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019988 · doc4.xml · nonDerivative · entry 5

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 184,909

F8 · kind: Represents the receipt of shares of Class A Common Stock of the Issuer by virtue of the Fund Distribution and the DGF II Associates Distribution.

F9 · ownership.nature: Shares are held by investment entities controlled by the Reporting Person.

Read SEC document
March 09, 2021 Filed Mar 12, 2021 01:32 UTC DoorDash, Inc. DASH · Entity 1541 OtherClass A Common Stock 82,089 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019988 · doc4.xml · nonDerivative · entry 4

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 82,089

F6 · kind: Represents the receipt of shares of Class A Common Stock of the Issuer by virtue of the receipt of shares in the DGF II Associates distribution.

F7 · ownership.nature: Shares are held by the Vallejo Ventures Trust for which the Reporting Person and his spouse serve as trustees.

Read SEC document
March 09, 2021 Filed Mar 12, 2021 01:32 UTC DoorDash, Inc. DASH · Entity 1541 OtherClass A Common Stock 507,824 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019988 · doc4.xml · nonDerivative · entry 3

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 82,808

F5 · kind: Represents a pro-rata in-kind distribution of Class A Common Stock of the Issuer by DGF II Associates without consideration to its members (the "DGF II Associates Distribution").

F4 · ownership.nature: The shares are held directly by DGF II Associates. The Reporting Person is a managing member of DGF II Associates and may be deemed to share voting and investment power over the securities held by DGF II Associates. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
March 09, 2021 Filed Mar 12, 2021 01:32 UTC DoorDash, Inc. DASH · Entity 1541 OtherClass A Common Stock 590,632 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019988 · doc4.xml · nonDerivative · entry 2

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 590,632

F3 · kind: Represents a change in the form of ownership from indirect to direct by virtue of the receipt of shares in the Fund Distribution.

F4 · ownership.nature: The shares are held directly by DGF II Associates. The Reporting Person is a managing member of DGF II Associates and may be deemed to share voting and investment power over the securities held by DGF II Associates. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
March 09, 2021 Filed Mar 12, 2021 01:32 UTC DoorDash, Inc. DASH · Entity 1541 OtherClass A Common Stock 2,422,610 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019988 · doc4.xml · nonDerivative · entry 1

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,633,915

F1 · kind: Represents a pro-rata in-kind distribution of Class A Common Stock of the Issuer by KPCB Digital Growth Fund II, LLC ("KPCB Growth") and KPCB DGF Founders Fund II, LLC ("KPCB FF") without consideration to their members (the "Fund Distribution").

F2 · ownership.nature: The shares are held for convenience in the name of KPCB Holdings, Inc., as nominee for the accounts of KPCB Digital Growth Fund II, LLC and KPCB Digital Growth Founders Fund II, LLC, (collectively, the "KPCB Entities"). As a managing member of KPCB DGF II Associates, LLC ("DGF II Associates"), the managing member of the KPCB Entities, the Reporting Person shares voting and dispositive control with respect to the shares held by KPCB Holdings, Inc., as nominee. The Reporting Person disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.

Read SEC document
December 11, 2020 Filed Dec 16, 2020 01:59 UTC DoorDash, Inc. DASH · Entity 1541 ConversionSeries H Convertible Preferred Stock · Derivative 164,595 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-033988 · doc4.xml · derivative · entry 6

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 164,595 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each share of Series H Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.

F3 · price: Each share of Series H Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.

F3 · derivative.exercise_date: Each share of Series H Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.

F3 · derivative.expiration_date: Each share of Series H Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.

F4 · ownership.nature: The shares are held for convenience in the name of KPCB Holdings, Inc., as nominee for the accounts of KPCB Digital Growth Fund II, LLC and KPCB Digital Growth Founders Fund II, LLC, (collectively, the "KPCB Entities"). As a managing member of KPCB DGF II Associates, LLC, the managing member of the KPCB Entities, the reporting person shares voting and dispositive control with respect to the shares held by KPCB Holdings, Inc., as nominee. The reporting person disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.

Read SEC document
December 11, 2020 Filed Dec 16, 2020 01:59 UTC DoorDash, Inc. DASH · Entity 1541 ConversionSeries C Convertible Preferred Stock · Derivative 417,730 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-033988 · doc4.xml · derivative · entry 5

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 417,730 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.

F2 · price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.

F2 · derivative.exercise_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.

F2 · derivative.expiration_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.

F4 · ownership.nature: The shares are held for convenience in the name of KPCB Holdings, Inc., as nominee for the accounts of KPCB Digital Growth Fund II, LLC and KPCB Digital Growth Founders Fund II, LLC, (collectively, the "KPCB Entities"). As a managing member of KPCB DGF II Associates, LLC, the managing member of the KPCB Entities, the reporting person shares voting and dispositive control with respect to the shares held by KPCB Holdings, Inc., as nominee. The reporting person disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.

Read SEC document
December 11, 2020 Filed Dec 16, 2020 01:59 UTC DoorDash, Inc. DASH · Entity 1541 ConversionSeries B Convertible Preferred Stock · Derivative 5,283,270 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-033988 · doc4.xml · derivative · entry 4

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 5,474,200 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on an approximate 1:1.036138784 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.

F1 · price: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on an approximate 1:1.036138784 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.

F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on an approximate 1:1.036138784 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.

F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on an approximate 1:1.036138784 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.

F4 · ownership.nature: The shares are held for convenience in the name of KPCB Holdings, Inc., as nominee for the accounts of KPCB Digital Growth Fund II, LLC and KPCB Digital Growth Founders Fund II, LLC, (collectively, the "KPCB Entities"). As a managing member of KPCB DGF II Associates, LLC, the managing member of the KPCB Entities, the reporting person shares voting and dispositive control with respect to the shares held by KPCB Holdings, Inc., as nominee. The reporting person disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.

Read SEC document
December 11, 2020 Filed Dec 16, 2020 01:59 UTC DoorDash, Inc. DASH · Entity 1541 OtherClass A Common Stock 6,056,525 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-033988 · doc4.xml · nonDerivative · entry 3

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 6,056,525

F5 · kind: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A Common Stock immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock.

F5 · price: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A Common Stock immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock.

F4 · ownership.nature: The shares are held for convenience in the name of KPCB Holdings, Inc., as nominee for the accounts of KPCB Digital Growth Fund II, LLC and KPCB Digital Growth Founders Fund II, LLC, (collectively, the "KPCB Entities"). As a managing member of KPCB DGF II Associates, LLC, the managing member of the KPCB Entities, the reporting person shares voting and dispositive control with respect to the shares held by KPCB Holdings, Inc., as nominee. The reporting person disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.

Read SEC document
December 11, 2020 Filed Dec 16, 2020 01:59 UTC DoorDash, Inc. DASH · Entity 1541 OtherCommon Stock 6,056,525 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-033988 · doc4.xml · nonDerivative · entry 2

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F5 · kind: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A Common Stock immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock.

F5 · price: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A Common Stock immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock.

F4 · ownership.nature: The shares are held for convenience in the name of KPCB Holdings, Inc., as nominee for the accounts of KPCB Digital Growth Fund II, LLC and KPCB Digital Growth Founders Fund II, LLC, (collectively, the "KPCB Entities"). As a managing member of KPCB DGF II Associates, LLC, the managing member of the KPCB Entities, the reporting person shares voting and dispositive control with respect to the shares held by KPCB Holdings, Inc., as nominee. The reporting person disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.

Read SEC document
December 11, 2020 Filed Dec 16, 2020 01:59 UTC DoorDash, Inc. DASH · Entity 1541 ConversionCommon Stock 6,056,525 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-033988 · doc4.xml · nonDerivative · entry 1

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 6,056,525

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on an approximate 1:1.036138784 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.

F2 · price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.

F3 · price: Each share of Series H Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.

F4 · ownership.nature: The shares are held for convenience in the name of KPCB Holdings, Inc., as nominee for the accounts of KPCB Digital Growth Fund II, LLC and KPCB Digital Growth Founders Fund II, LLC, (collectively, the "KPCB Entities"). As a managing member of KPCB DGF II Associates, LLC, the managing member of the KPCB Entities, the reporting person shares voting and dispositive control with respect to the shares held by KPCB Holdings, Inc., as nominee. The reporting person disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.

Read SEC document
December 11, 2020 Filed Dec 16, 2020 00:18 UTC AMYRIS, INC. AMRS · Entity 91367 Exercise / conversionWarrant (Right to Buy) · Derivative 5,000,000 $0.00 Strike: $2.87 $0.00
Disclosure

SEC source: 0001365916-20-000209 · wf-form4_160807789273022.xml · derivative · entry 8

DOERR L JOHN · CIK 0001032455 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Foris Ventures, LLC

Disclosed balance after: 3,778,230

Underlying: Common Stock · 5,000,000 shares

Expires 2021-07-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · derivative.expiration_date: On December 11, 2020, Foris and the Issuer amended this warrant to extend the termination date from January 31, 2021 to July 31, 2021.

F2 · ownership.nature: The Reporting Person indirectly holds all of the membership interests in Foris Ventures, LLC ("Foris"). The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

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December 11, 2020 Filed Dec 16, 2020 00:18 UTC AMYRIS, INC. AMRS · Entity 91367 Exercise / conversionCommon Stock 5,000,000 $2.87 $14,350,000.00
Disclosure

SEC source: 0001365916-20-000209 · wf-form4_160807789273022.xml · nonDerivative · entry 1

DOERR L JOHN · CIK 0001032455 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by Foris Ventures, LLC

Disclosed balance after: 70,156,794

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 6,666,666 shares of common stock received upon automatic conversion of 20,000 shares of Series E Preferred Stock on August 17, 2020.

F2 · ownership.nature: The Reporting Person indirectly holds all of the membership interests in Foris Ventures, LLC ("Foris"). The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

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August 27, 2020 Filed Sep 1, 2020 00:20 UTC Bloom Energy Corp BE · Entity 2659 OtherClass B Common Stock · Derivative 159,115 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-048860 · doc4.xml · derivative · entry 13

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By trust

Disclosed balance after: 739,275

Underlying: Class A Common Stock · 159,115 shares

Expires not disclosed

F13 · derivative.exercise_price: The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except 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 Secretary of the Issuer or Chairman of the Issuer's Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F14 · kind: Represents a change in the form of beneficial ownership of Class B Common Stock for individuals and entities associated with KPCB Holdings, Inc., as nominee.

F13 · derivative.exercise_date: The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except 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 Secretary of the Issuer or Chairman of the Issuer's Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F13 · derivative.expiration_date: The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except 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 Secretary of the Issuer or Chairman of the Issuer's Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F6 · ownership.nature: Held by Vallejo Ventures Trust, L. John and Ann Doerr, Trustees.

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August 27, 2020 Filed Sep 1, 2020 00:20 UTC Bloom Energy Corp BE · Entity 2659 OtherClass B Common Stock · Derivative 159,115 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-048860 · doc4.xml · derivative · entry 12

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · KPCB Holdings, Inc. as Nominee

Disclosed balance after: 0

Underlying: Class A Common Stock · 159,115 shares

Expires not disclosed

F13 · derivative.exercise_price: The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except 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 Secretary of the Issuer or Chairman of the Issuer's Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F14 · kind: Represents a change in the form of beneficial ownership of Class B Common Stock for individuals and entities associated with KPCB Holdings, Inc., as nominee.

F13 · derivative.exercise_date: The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except 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 Secretary of the Issuer or Chairman of the Issuer's Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F13 · derivative.expiration_date: The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except 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 Secretary of the Issuer or Chairman of the Issuer's Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F2 · ownership.nature: All shares are held for convenience in the name of KPCB Holdings, Inc., as nominee, for the accounts of such individuals and entities who each exercise their own voting and dispositive control over such shares.

F3 · ownership.nature: KPCB X Associates, LLC ("KPCB X Associates"), is the general partner of Kleiner Perkins Caufield & Byers X-A, L.P. ("KPCB X-A") and Kleiner Perkins Caufield & Byers X-B, L.P. ("KPCB X-B"). Brook Byers, L. John Doerr, Kevin Compton, Doug Mackenzie, Raymond Lane and Theodore Schlein, the managers of KPCB X Associates, share voting and dispositive control over the shares held by KPCB X-A and KPCB X-B. Each manager of KPCB X Associates disclaims beneficial ownership of the shares held by KPCB X-A and KPCB X-B.

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August 27, 2020 Filed Sep 1, 2020 00:20 UTC Bloom Energy Corp BE · Entity 2659 ConversionClass B Common Stock · Derivative 7,701,219 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-048860 · doc4.xml · derivative · entry 11

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · KPCB Holdings, Inc. as Nominee

Disclosed balance after: 159,115

Underlying: Class A Common Stock · 7,701,219 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F13 · derivative.exercise_price: The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except 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 Secretary of the Issuer or Chairman of the Issuer's Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F1 · kind: Conversion of a derivative security in accordance with its terms.

F13 · derivative.exercise_date: The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except 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 Secretary of the Issuer or Chairman of the Issuer's Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F13 · derivative.expiration_date: The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except 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 Secretary of the Issuer or Chairman of the Issuer's Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F2 · ownership.nature: All shares are held for convenience in the name of KPCB Holdings, Inc., as nominee, for the accounts of such individuals and entities who each exercise their own voting and dispositive control over such shares.

F3 · ownership.nature: KPCB X Associates, LLC ("KPCB X Associates"), is the general partner of Kleiner Perkins Caufield & Byers X-A, L.P. ("KPCB X-A") and Kleiner Perkins Caufield & Byers X-B, L.P. ("KPCB X-B"). Brook Byers, L. John Doerr, Kevin Compton, Doug Mackenzie, Raymond Lane and Theodore Schlein, the managers of KPCB X Associates, share voting and dispositive control over the shares held by KPCB X-A and KPCB X-B. Each manager of KPCB X Associates disclaims beneficial ownership of the shares held by KPCB X-A and KPCB X-B.

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August 27, 2020 Filed Sep 1, 2020 00:20 UTC Bloom Energy Corp BE · Entity 2659 OtherClass A Common Stock 8,769 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-048860 · doc4.xml · nonDerivative · entry 5

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · 2750 Sand Hill Associates, LLC

Disclosed balance after: 8,769

F5 · kind: Represents a change in the form of ownership by virtue of the receipt of shares in the Fund Distribution.

F8 · ownership.nature: Held by 2750 Sand Hill Associates, LLC, of which KPTV, LLC is a member.

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August 27, 2020 Filed Sep 1, 2020 00:20 UTC Bloom Energy Corp BE · Entity 2659 OtherClass A Common Stock 17,534 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-048860 · doc4.xml · nonDerivative · entry 4

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · KPTV, LLC

Disclosed balance after: 17,534

F5 · kind: Represents a change in the form of ownership by virtue of the receipt of shares in the Fund Distribution.

F7 · ownership.nature: Held by KPTV, LLC, of which Vallejo Ventures Trust is the sole member.

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August 27, 2020 Filed Sep 1, 2020 00:20 UTC Bloom Energy Corp BE · Entity 2659 OtherClass A Common Stock 929,374 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-048860 · doc4.xml · nonDerivative · entry 3

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By trust

Disclosed balance after: 3,040,213

F5 · kind: Represents a change in the form of ownership by virtue of the receipt of shares in the Fund Distribution.

F6 · ownership.nature: Held by Vallejo Ventures Trust, L. John and Ann Doerr, Trustees.

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August 27, 2020 Filed Sep 1, 2020 00:20 UTC Bloom Energy Corp BE · Entity 2659 OtherClass A Common Stock 7,701,219 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-048860 · doc4.xml · nonDerivative · entry 2

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · KPCB Holdings, Inc. as Nominee

Disclosed balance after: 0

F4 · kind: Represents a pro-rata in-kind distribution of Class A Common Stock of the Issuer by KPCB X-A and KPCB X-B without consideration to their partners (the "Fund Distribution") and a change in the form of beneficial ownership for individuals and entities associated with KPCB Holdings, Inc.

F2 · ownership.nature: All shares are held for convenience in the name of KPCB Holdings, Inc., as nominee, for the accounts of such individuals and entities who each exercise their own voting and dispositive control over such shares.

F3 · ownership.nature: KPCB X Associates, LLC ("KPCB X Associates"), is the general partner of Kleiner Perkins Caufield & Byers X-A, L.P. ("KPCB X-A") and Kleiner Perkins Caufield & Byers X-B, L.P. ("KPCB X-B"). Brook Byers, L. John Doerr, Kevin Compton, Doug Mackenzie, Raymond Lane and Theodore Schlein, the managers of KPCB X Associates, share voting and dispositive control over the shares held by KPCB X-A and KPCB X-B. Each manager of KPCB X Associates disclaims beneficial ownership of the shares held by KPCB X-A and KPCB X-B.

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August 27, 2020 Filed Sep 1, 2020 00:20 UTC Bloom Energy Corp BE · Entity 2659 ConversionClass A Common Stock 7,701,219 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-048860 · doc4.xml · nonDerivative · entry 1

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · KPCB Holdings, Inc. as Nominee

Disclosed balance after: 7,701,219

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Conversion of a derivative security in accordance with its terms.

F2 · ownership.nature: All shares are held for convenience in the name of KPCB Holdings, Inc., as nominee, for the accounts of such individuals and entities who each exercise their own voting and dispositive control over such shares.

F3 · ownership.nature: KPCB X Associates, LLC ("KPCB X Associates"), is the general partner of Kleiner Perkins Caufield & Byers X-A, L.P. ("KPCB X-A") and Kleiner Perkins Caufield & Byers X-B, L.P. ("KPCB X-B"). Brook Byers, L. John Doerr, Kevin Compton, Doug Mackenzie, Raymond Lane and Theodore Schlein, the managers of KPCB X Associates, share voting and dispositive control over the shares held by KPCB X-A and KPCB X-B. Each manager of KPCB X Associates disclaims beneficial ownership of the shares held by KPCB X-A and KPCB X-B.

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August 14, 2020 Filed Jan 5, 2023 02:50 UTC AMYRIS, INC. AMRS · Entity 91367 Purchase6% Convertible Note due 2023 · Derivative Not disclosed Not disclosed Strike: $3.00 $50,041,000.00
Disclosure

SEC source: 0000899243-23-000770 · doc4.xml · derivative · entry 8

DOERR L JOHN · CIK 0001032455 · Director · 10% owner

Foris Ventures, LLC · CIK 0001749713 · 10% owner

Doerr Ann Howland · CIK 0001750962 · 10% owner

Hager Barbara · CIK 0001750733 · 10% owner

Vallejo Ventures Trust UTA 21296 · CIK 0001750751 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Foris Ventures, LLC

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2023-07-01

F9 · price: On October 28, 2019, the Issuer, FV, as lender, and the other parties thereto entered into that certain Amended and Restated Loan and Security Agreement (the "LSA"), pursuant to which the Issuer issued certain indebtedness to FV. On June 1, 2020, the parties to the LSA entered into Amendment No. 1 thereto, pursuant to which the Issuer granted FV the right to convert, at its option, all or any portion of the indebtedness outstanding under the LSA (the "2019 Convertible Note"), including accrued and unpaid interest, into shares of Common Stock, subject to stockholder approval, which was granted on August 14, 2020. As of January 4, 2023, 16,680,334 shares of Common Stock are issuable upon conversion of the 2019 Convertible Note in respect of an outstanding principal amount of $50 million and 3,701,734 shares of Common Stock are issuable upon conversion of accrued and unpaid interest of $11.1 million, reflecting a fixed conversion price of $3.00 per share of Common Stock.

F9 · derivative.exercise_date: On October 28, 2019, the Issuer, FV, as lender, and the other parties thereto entered into that certain Amended and Restated Loan and Security Agreement (the "LSA"), pursuant to which the Issuer issued certain indebtedness to FV. On June 1, 2020, the parties to the LSA entered into Amendment No. 1 thereto, pursuant to which the Issuer granted FV the right to convert, at its option, all or any portion of the indebtedness outstanding under the LSA (the "2019 Convertible Note"), including accrued and unpaid interest, into shares of Common Stock, subject to stockholder approval, which was granted on August 14, 2020. As of January 4, 2023, 16,680,334 shares of Common Stock are issuable upon conversion of the 2019 Convertible Note in respect of an outstanding principal amount of $50 million and 3,701,734 shares of Common Stock are issuable upon conversion of accrued and unpaid interest of $11.1 million, reflecting a fixed conversion price of $3.00 per share of Common Stock.

F2 · ownership.nature: L. John Doerr ("John Doerr") indirectly holds all of the membership interests in FV. John Doerr disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F3 · ownership.nature: Barbara Hager, the manager of FV, may be deemed to have sole power to vote and dispose of the shares held by FV. The Vallejo Ventures Trust U/T/A 2/12/96 ("VVT"), the member of FV, may be deemed to have sole power to vote and dispose of these securities and John Doerr and Ann Doerr, the trustees of VVT, and Barbara Hager, the special trustee of VVT, may be deemed to have shared power to vote and dispose of the reported securities. Each of John Doerr, Ann Doerr and Barbara Hager disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. FV and VVT are represented on the Issuer's board of directors by John Doerr. Accordingly, each of the Reporting Persons is deemed to be a director by deputization. The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act.

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August 13, 2020 Filed Aug 20, 2020 01:03 UTC Bloom Energy Corp BE · Entity 2659 ConversionClass B Common Stock · Derivative 866,690 $0.00 Strike: $8.00 $0.00
Disclosure

SEC source: 0001209191-20-047655 · doc4.xml · derivative · entry 18

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · KPCB Holdings, Inc. as Nominee

Disclosed balance after: 7,860,334

Underlying: Class A Common Stock · 866,690 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Conversion of a derivative security in accordance with its terms.

F14 · derivative.exercise_date: The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except 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 Secretary of the Issuer or Chairman of the Issuer's Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F14 · derivative.expiration_date: The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except 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 Secretary of the Issuer or Chairman of the Issuer's Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F2 · ownership.nature: All shares are held for convenience in the name of KPCB Holdings, Inc., as nominee, for the accounts of such individuals and entities who each exercise their own voting and dispositive control over such shares.

F3 · ownership.nature: KPCB IX Associates, LLC ("KPCB IX Associates"), is the general partner of Kleiner Perkins Caufield & Byers IX-A, L.P. ("KPCB IX-A") and Kleiner Perkins Caufield & Byers IX-B, L.P. ("KPCB IX-B"). KPCB X Associates, LLC("KPCB X Associates"), is the general partner of Kleiner Perkins Caufield & Byers X-A, L.P. ("KPCB X-A") and Kleiner Perkins Caufield & Byers X-B, L.P. ("KPCB X-B"). Brook Byers, L. John Doerr, Kevin Compton, Doug Mackenzie, Raymond Lane and Theodore Schlein, the managers of KPCB IX Associates, share voting and dispositive control over the shares held by KPCB IX-A and KPCB IX-B. Brook Byers, L. John Doerr, Kevin Compton, Doug Mackenzie, Raymond Lane and Theodore Schlein, the managers of KPCB X Associates, share voting and dispositive control over the shares held by KPCB X-A and KPCB X-B. Each manager of KPCB IX Associates and KPCB X Associates disclaims beneficial ownership of the shares held by KPCB IX-A, KPCB IX-B, KPCB X-A and KPCB X-B.

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August 13, 2020 Filed Aug 20, 2020 01:03 UTC Bloom Energy Corp BE · Entity 2659 Conversion6% Convertible Notes · Derivative Not disclosed $0.00 Strike: $8.00 $6,933,525.00
Disclosure

SEC source: 0001209191-20-047655 · doc4.xml · derivative · entry 17

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · KPCB Holdings, Inc. as Nominee

Disclosed balance after: 0

Underlying: Class B Common Stock · 866,690 shares

Expires 2021-12-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F19 · derivative.exercise_price: Pursuant to the Amended and Restated Indenture dated April 20, 2020 governing the 6% Convertible Notes, the maturity date of the 6% Convertible Notes was extended from Demember 1, 2020 to December 1, 2021 and the conversion price was amended from $11.25 to $8.00. In addition, the interest rate was increased from 6.0% to 10.0% per annum, payable in cash.

F1 · kind: Conversion of a derivative security in accordance with its terms.

F16 · derivative.exercise_date: The outstanding principal and accrued interest on the 6% Convertible Notes due 2020 (the "6% Convertible Notes") will be convertible at any time at the option of the holders thereof into shares of Issuer's Class B Common Stock.

F19 · derivative.expiration_date: Pursuant to the Amended and Restated Indenture dated April 20, 2020 governing the 6% Convertible Notes, the maturity date of the 6% Convertible Notes was extended from Demember 1, 2020 to December 1, 2021 and the conversion price was amended from $11.25 to $8.00. In addition, the interest rate was increased from 6.0% to 10.0% per annum, payable in cash.

F14 · derivative.underlying: The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except 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 Secretary of the Issuer or Chairman of the Issuer's Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F18 · derivative.underlying_shares: The number of Class B Common Stock shares reflects the principal as of August 13, 2020.

F2 · ownership.nature: All shares are held for convenience in the name of KPCB Holdings, Inc., as nominee, for the accounts of such individuals and entities who each exercise their own voting and dispositive control over such shares.

F3 · ownership.nature: KPCB IX Associates, LLC ("KPCB IX Associates"), is the general partner of Kleiner Perkins Caufield & Byers IX-A, L.P. ("KPCB IX-A") and Kleiner Perkins Caufield & Byers IX-B, L.P. ("KPCB IX-B"). KPCB X Associates, LLC("KPCB X Associates"), is the general partner of Kleiner Perkins Caufield & Byers X-A, L.P. ("KPCB X-A") and Kleiner Perkins Caufield & Byers X-B, L.P. ("KPCB X-B"). Brook Byers, L. John Doerr, Kevin Compton, Doug Mackenzie, Raymond Lane and Theodore Schlein, the managers of KPCB IX Associates, share voting and dispositive control over the shares held by KPCB IX-A and KPCB IX-B. Brook Byers, L. John Doerr, Kevin Compton, Doug Mackenzie, Raymond Lane and Theodore Schlein, the managers of KPCB X Associates, share voting and dispositive control over the shares held by KPCB X-A and KPCB X-B. Each manager of KPCB IX Associates and KPCB X Associates disclaims beneficial ownership of the shares held by KPCB IX-A, KPCB IX-B, KPCB X-A and KPCB X-B.

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August 13, 2020 Filed Aug 20, 2020 01:03 UTC Bloom Energy Corp BE · Entity 2659 ConversionClass B Common Stock · Derivative 1,250,000 $0.00 Strike: $8.00 $0.00
Disclosure

SEC source: 0001209191-20-047655 · doc4.xml · derivative · entry 16

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Foris Ventures, LLC

Disclosed balance after: 1,250,000

Underlying: Class A Common Stock · 1,250,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Conversion of a derivative security in accordance with its terms.

F14 · derivative.exercise_date: The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except 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 Secretary of the Issuer or Chairman of the Issuer's Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F14 · derivative.expiration_date: The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except 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 Secretary of the Issuer or Chairman of the Issuer's Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F17 · ownership.nature: The Reporting Person indirectly holds all of the membership interests in Foris Ventures, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

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August 13, 2020 Filed Aug 20, 2020 01:03 UTC Bloom Energy Corp BE · Entity 2659 Conversion6% Convertible Notes · Derivative Not disclosed $0.00 Strike: $8.00 $10,000,000.00
Disclosure

SEC source: 0001209191-20-047655 · doc4.xml · derivative · entry 15

DOERR L JOHN · CIK 0001032455 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Foris Ventures, LLC

Disclosed balance after: 0

Underlying: Class B Common Stock · 1,250,000 shares

Expires 2021-12-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Conversion of a derivative security in accordance with its terms.

F16 · derivative.exercise_date: The outstanding principal and accrued interest on the 6% Convertible Notes due 2020 (the "6% Convertible Notes") will be convertible at any time at the option of the holders thereof into shares of Issuer's Class B Common Stock.

F14 · derivative.underlying: The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option; or (b) upon any transfer except 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 Secretary of the Issuer or Chairman of the Issuer's Board to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F18 · derivative.underlying_shares: The number of Class B Common Stock shares reflects the principal as of August 13, 2020.

F17 · ownership.nature: The Reporting Person indirectly holds all of the membership interests in Foris Ventures, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.