Venkataraman Swaminathan

SEC source: 0001664703-22-000046 · wf-form4_164764738089343.xml · nonDerivative · entry 3

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,625

F3 · kind: Sale of shares to cover tax withholding obligation incurred upon settlement of the performance stock units (the "PSUs").

F4 · price: The price reported represents the weighted average sale price per share. The shares were sold in multiple transactions at prices ranging from $23.8669 to $23.95. Upon request by the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

SEC source: 0001664703-22-000046 · wf-form4_164764738089343.xml · nonDerivative · entry 2

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,963

F1 · kind: Sale of shares to cover tax withholding obligation incurred upon settlement of the restricted stock units .

F2 · price: The price reported represents the weighted average sale price per share. The shares were sold in multiple transactions at prices ranging from $20.96 to $21.80. Upon request by the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

SEC source: 0001664703-22-000046 · wf-form4_164764738089343.xml · derivative · entry 5

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,994

Underlying: Class A Common Stock · 6,495 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.

F6 · derivative.exercise_price: Each PSU represents a contingent right to receive one (1) share of the Class A Common Stock of the Issuer upon settlement.

F7 · derivative.exercise_date: On February 11, 2021, the Reporting Person was granted a PSU award for a target number of 24,253 shares of Class A common stock, subject to the achievement of certain financial performance criteria during the performance period. The Reporting Person partially met the performance criteria as determined by the Compensation Committee on February 16, 2022, which resulted in a payout of 75% of the target. The PSUs shall vest annually over three (3) years, with a third of the PSUs vesting on March 15, 2022, another third on March 15, 2023 and the remaining third on March 15, 2024, subject to Reporting Person remaining a service provider on each applicable vesting date.

F7 · derivative.expiration_date: On February 11, 2021, the Reporting Person was granted a PSU award for a target number of 24,253 shares of Class A common stock, subject to the achievement of certain financial performance criteria during the performance period. The Reporting Person partially met the performance criteria as determined by the Compensation Committee on February 16, 2022, which resulted in a payout of 75% of the target. The PSUs shall vest annually over three (3) years, with a third of the PSUs vesting on March 15, 2022, another third on March 15, 2023 and the remaining third on March 15, 2024, subject to Reporting Person remaining a service provider on each applicable vesting date.

SEC source: 0001664703-22-000046 · wf-form4_164764738089343.xml · nonDerivative · entry 1

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,357

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.

SEC source: 0001664703-22-000023 · wf-form4_164514848143626.xml · derivative · entry 7

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,489

Underlying: Class A Common Stock · 19,489 shares

Expires not disclosed

F6 · derivative.exercise_price: Each PSU represents a contingent right to receive one (1) share of the Class A Common Stock of the Issuer upon settlement.

F8 · derivative.exercise_date: On February 11, 2021, the Reporting Person was granted a PSU award for a target number of 25,985 shares of Class A common stock, subject to the achievement of certain financial performance criteria during the performance period. The Reporting Person partially met the performance criteria as determined by the Compensation Committee on February 16, 2022, which resulted in a payout of 75% of the target. The PSUs shall vest annually over three (3) years, with a third of the PSUs vesting on March 15, 2022, another third on March 15, 2023 and the remaining third on March 15, 2024, subject to Reporting Person remaining a service provider on each applicable vesting date.

F8 · derivative.expiration_date: On February 11, 2021, the Reporting Person was granted a PSU award for a target number of 25,985 shares of Class A common stock, subject to the achievement of certain financial performance criteria during the performance period. The Reporting Person partially met the performance criteria as determined by the Compensation Committee on February 16, 2022, which resulted in a payout of 75% of the target. The PSUs shall vest annually over three (3) years, with a third of the PSUs vesting on March 15, 2022, another third on March 15, 2023 and the remaining third on March 15, 2024, subject to Reporting Person remaining a service provider on each applicable vesting date.

SEC source: 0001664703-22-000023 · wf-form4_164514848143626.xml · nonDerivative · entry 3

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,862

F1 · kind: Sale of shares to cover tax withholding obligation incurred upon settlement of the restricted stock units ("RSUs") and performance-based stock units ("PSUs") effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported represents the weighted average sale price per share. The shares were sold in multiple transactions at prices ranging from $19.25 to $20.07. Upon request by the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

SEC source: 0001664703-22-000023 · wf-form4_164514848143626.xml · derivative · entry 6

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,050

Underlying: Class A Common Stock · 22,050 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.

F6 · derivative.exercise_price: Each PSU represents a contingent right to receive one (1) share of the Class A Common Stock of the Issuer upon settlement.

F7 · derivative.exercise_date: On June 12, 2020, the Reporting Person was granted a PSU award for a target number of 45,000 shares of Class A common stock, subject to the achievement of certain financial performance criteria during the performance period. The Reporting Person fully met the performance criteria as determined by the Compensation Committee on February 11, 2021, which resulted in a payout of 1.47 times the target. The PSUs shall vest annually over three (3) years, with a third of the PSU vesting on February 15, 2021, another third on February 15, 2022 and the remaining third on February 15, 2023, subject to Reporting Person remaining a service provider on each applicable vesting date.

F7 · derivative.expiration_date: On June 12, 2020, the Reporting Person was granted a PSU award for a target number of 45,000 shares of Class A common stock, subject to the achievement of certain financial performance criteria during the performance period. The Reporting Person fully met the performance criteria as determined by the Compensation Committee on February 11, 2021, which resulted in a payout of 1.47 times the target. The PSUs shall vest annually over three (3) years, with a third of the PSU vesting on February 15, 2021, another third on February 15, 2022 and the remaining third on February 15, 2023, subject to Reporting Person remaining a service provider on each applicable vesting date.

SEC source: 0001664703-22-000023 · wf-form4_164514848143626.xml · derivative · entry 5

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,986

Underlying: Class A Common Stock · 12,992 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the Class A Common Stock of the Issuer upon settlement.

F5 · derivative.exercise_date: This RSU award shall vest over three years, with a third of the RSUs vesting on the one-year anniversary of the vesting commencement date, which is February 15, 2021, and the remaining shares vesting quarterly in 1/12th installments over the next two years, subject to Reporting Person remaining a service provider on each applicable vesting date.

F5 · derivative.expiration_date: This RSU award shall vest over three years, with a third of the RSUs vesting on the one-year anniversary of the vesting commencement date, which is February 15, 2021, and the remaining shares vesting quarterly in 1/12th installments over the next two years, subject to Reporting Person remaining a service provider on each applicable vesting date.

SEC source: 0001664703-22-000023 · wf-form4_164514848143626.xml · nonDerivative · entry 2

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,620

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.

SEC source: 0001664703-22-000023 · wf-form4_164514848143626.xml · nonDerivative · entry 1

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,570

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.

SEC source: 0001664703-21-000198 · wf-form4_164005253910929.xml · derivative · entry 5

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 6,666 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.

F5 · derivative.exercise_price: The Class B Common Stock is convertible into Class A Common Stock on a 1-for-1 basis (a) at the option of the holder; 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 5th 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 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 or Chairman of the Board of the Issuer to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F5 · derivative.exercise_date: The Class B Common Stock is convertible into Class A Common Stock on a 1-for-1 basis (a) at the option of the holder; 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 5th 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 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 or Chairman of the Board of the Issuer to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F5 · derivative.expiration_date: The Class B Common Stock is convertible into Class A Common Stock on a 1-for-1 basis (a) at the option of the holder; 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 5th 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 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 or Chairman of the Board of the Issuer to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

SEC source: 0001664703-21-000198 · wf-form4_164005253910929.xml · derivative · entry 4

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,214

Underlying: Class B Common Stock · 6,666 shares

Expires 2028-07-23

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.

F4 · derivative.exercise_date: The option vests in three equal annual installments commencing on the second-year anniversary of July 24, 2018, followed by the third and fourth anniversaries, so that the entire grant is full vested on the 4th year anniversary of July 24, 2018, subject to the Reporting Person's continued service through each vesting date.

SEC source: 0001664703-21-000198 · wf-form4_164005253910929.xml · nonDerivative · entry 2

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,578

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.

SEC source: 0001664703-21-000198 · wf-form4_164005253910929.xml · nonDerivative · entry 1

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,912

F1 · kind: Sale of shares to cover tax withholding obligation incurred upon settlement of the restricted stock units effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported represents the weighted average sale price per share. The shares were sold in multiple transactions at prices ranging from $22.79 to $23.03. Upon request by the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

SEC source: 0001664703-21-000185 · wf-form4_163719420008189.xml · nonDerivative · entry 1

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,078

F1 · kind: Sale of shares to cover tax withholding obligation incurred upon settlement of the restricted stock units effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported represents the weighted average sale price per share. The shares were sold in multiple transactions at prices ranging from $30.89 to $30.998. Upon request by the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

SEC source: 0001664703-21-000161 · wf-form4_163469021212196.xml · nonDerivative · entry 2

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,693

F1 · kind: Sale of shares to cover tax withholding obligation incurred upon settlement of the restricted stock units effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported represents the weighted average sale price per share. The shares were sold in multiple transactions at prices ranging from $21.17 to $21.56. Upon request by the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

F3 · balance_after: Includes 2,500 shares that were acquired under the Issuer's Employee Stock Purchase Plan.

SEC source: 0001664703-21-000161 · wf-form4_163469021212196.xml · derivative · entry 4

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Class A Common Stock · 10,000 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.

F5 · derivative.exercise_price: Each restricted stock unit (the "RSU") represents a contingent right to receive one (1) share of the Class A Common Stock of the Issuer upon settlement.

F6 · derivative.exercise_date: The RSUs will vest in equal annual installments of 10,000 shares each on October 16, 2019, October 16, 2020, October 16, 2021, October 16, 2022 and October 16, 2023, subject to the Reporting Person's continued service through each applicable vesting date.

F6 · derivative.expiration_date: The RSUs will vest in equal annual installments of 10,000 shares each on October 16, 2019, October 16, 2020, October 16, 2021, October 16, 2022 and October 16, 2023, subject to the Reporting Person's continued service through each applicable vesting date.

SEC source: 0001664703-21-000161 · wf-form4_163469021212196.xml · nonDerivative · entry 1

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,119

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.

SEC source: 0001664703-21-000149 · wf-form4_163192292357151.xml · nonDerivative · entry 1

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,119

F1 · kind: Sale of shares to cover tax withholding obligation incurred upon settlement of the restricted stock units effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported represents the weighted average sale price per share. The shares were sold in multiple transactions at prices ranging from $18.80 to $19.07. Upon request by the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

SEC source: 0001664703-21-000141 · wf-form4_162933246245714.xml · nonDerivative · entry 1

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,568

F1 · kind: Sale of shares to cover tax withholding obligation incurred upon settlement of the restricted stock units effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported represents the weighted average sale price per share. The shares were sold in multiple transactions at prices ranging from $20.11 to $20.18. Upon request by the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

SEC source: 0001664703-21-000111 · wf-form4_162397139082811.xml · nonDerivative · entry 3

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,609

F3 · kind: Sale of shares to cover tax withholding obligation incurred upon settlement of the restricted stock units effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F4 · price: Represents the weighted average sale price per share. The shares were sold in multiple transactions at prices ranging from $23.55 to $24.23 per share. Upon request by the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

SEC source: 0001664703-21-000111 · wf-form4_162397139082811.xml · nonDerivative · entry 2

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Indirect · By trust

Disclosed balance after: 19,253

F2 · ownership.nature: Held by The Venkataraman Living Trust UTA dtd 6/8/2011, of which the Reporting Person is a trustee.

SEC source: 0001664703-21-000111 · wf-form4_162397139082811.xml · nonDerivative · entry 1

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,315

F1 · shares: Represents transfer of shares to The Venkataraman Living Trust UTA dtd 6/8/2011, of which the Reporting Person is a trustee.

SEC source: 0001664703-21-000086 · wf-form4_162146382022444.xml · nonDerivative · entry 1

Venkataraman Swaminathan · CIK 0001746127 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,568

F1 · kind: Sale of shares to cover tax withholding obligation incurred upon settlement of the restricted stock units effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported represents the weighted average sale price per share. The shares were sold in multiple transactions at prices ranging from $19.95 to $20.29. Upon request by the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-21-012890 · doc4.xml · derivative · entry 3

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 5,109 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: The Class B Common Stock is convertible into Class A Common Stock of the Issuer on a 1-for-1 basis (a) at the option of the holder; 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 5th 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 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 Board of the Issuer to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F2 · derivative.exercise_date: The Class B Common Stock is convertible into Class A Common Stock of the Issuer on a 1-for-1 basis (a) at the option of the holder; 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 5th 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 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 Board of the Issuer to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F2 · derivative.expiration_date: The Class B Common Stock is convertible into Class A Common Stock of the Issuer on a 1-for-1 basis (a) at the option of the holder; 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 5th 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 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 Board of the Issuer to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

SEC source: 0001209191-21-012890 · doc4.xml · derivative · entry 2

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,880

Underlying: Class B Common Stock · 5,109 shares

Expires 2028-07-23

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_date: The option vests in three equal annual installments commencing on the second-year anniversary of July 24, 2018, followed by the third and fourth anniversaries, so that the entire grant is full vested on the 4th year anniversary of July 24, 2018, subject to the reporting person's continued service through each vesting date.

SEC source: 0001209191-21-012890 · doc4.xml · nonDerivative · entry 1

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,228

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.

SEC source: 0001209191-21-012108 · doc4.xml · derivative · entry 7

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,352

Underlying: Class A Common Stock · 3,169 shares

Expires 2029-07-15

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.

F7 · derivative.exercise_date: The option vested as to 25% of the shares on the 1-year anniversary of February 15, 2019, and the remaining shares will vest in equal quarterly installments from such 1-year anniversary over the next three years, subject to the Reporting Person's continuous service to the Issuer through each vesting date.

SEC source: 0001209191-21-012108 · doc4.xml · derivative · entry 6

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,526

Underlying: Class A Common Stock · 3,315 shares

Expires 2029-02-14

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.

F6 · derivative.exercise_date: The option vested as to 25% of the shares on the 1-year anniversary of the grant date, and the remaining shares will vest in equal quarterly installments from such 1-year anniversary over the next three years, subject to the Reporting Person's continuous service to the Issuer through each vesting date.

SEC source: 0001209191-21-012108 · doc4.xml · nonDerivative · entry 4

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,119

F2 · kind: Sale of shares to cover tax withholding obligation incurred upon settlement of the Performance Stock Units (the "PSUs") that vested on February 15, 2021.

F3 · price: The price reported represents the weighted average sale price per share. These shares were sold in multiple transactions at prices ranging from $35.32 to $40.05 per share. Upon request by the staff of the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-21-012108 · doc4.xml · nonDerivative · entry 3

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,480

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.

SEC source: 0001209191-21-012108 · doc4.xml · nonDerivative · entry 2

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,311

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.

SEC source: 0001209191-21-012108 · doc4.xml · derivative · entry 5

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,100

Underlying: Class A Common Stock · 22,050 shares

Expires 2031-02-10

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.

F4 · derivative.exercise_price: Each of the PSUs represents a contingent right to receive one (1) share of the Class A Common Stock of the Issuer upon settlement.

F5 · derivative.exercise_date: On June 12, 2020, the Reporting Person was granted a PSU award for a target number of 45,000 shares of Class A common stock, subject to the achievement of certain financial performance criteria during the performance period. The Reporting Person fully met the performance criteria as determined by the Compensation Committee on February 11, 2021, which resulted in a payout of 1.47 times the target. The PSUs shall vest annually over three (3) years, with a third of the PSU vesting on February 15, 2021, another third on February 15, 2022 and the remaining third on February 15, 2023, subject to Reporting Person remaining a service provider on each applicable vesting date.

SEC source: 0001209191-21-012108 · doc4.xml · nonDerivative · entry 1

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,996

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.

F1 · balance_after: Includes 2,500 shares that were acquired under the Bloom Energy Corporation Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001209191-21-011099 · doc4.xml · derivative · entry 3

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,150

Underlying: Class A Common Stock · 66,150 shares

Expires 2031-02-10

F4 · derivative.exercise_price: Each of the Performance Stock Units (the "PSUs") represents a contingent right to receive one (1) share of the Class A Common Stock of the Issuer upon settlement.

F5 · derivative.exercise_date: On June 12, 2020, the Reporting Person was granted a PSU award for a target number of 45,000 shares of Class A common stock, subject to the achievement of certain financial performance criteria during the performance period. The Reporting Person fully met the performance criteria as determined by the Compensation Committee on February 11, 2021, which resulted in a payout of 1.47 times the target. The PSUs shall vest annually over three (3) years, with a third of the PSU vesting on February 15, 2021, another third on February 15, 2022 and the remaining third on February 15, 2023, subject to Reporting Person remaining a service provider on each applicable vesting date.

SEC source: 0001209191-21-011099 · doc4.xml · derivative · entry 2

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,000

Underlying: Class A Common Stock · 36,000 shares

Expires 2031-02-10

F1 · derivative.exercise_price: Each of the Restricted Stock Units (the "RSUs") represents a contingent right to receive one (1) share of the Class A Common Stock of the Issuer upon settlement.

F3 · derivative.exercise_date: RSUs will fully vest on December 21, 2022.

SEC source: 0001209191-21-011099 · doc4.xml · derivative · entry 1

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,978

Underlying: Class A Common Stock · 38,978 shares

Expires 2031-02-10

F1 · derivative.exercise_price: Each of the Restricted Stock Units (the "RSUs") represents a contingent right to receive one (1) share of the Class A Common Stock of the Issuer upon settlement.

F2 · derivative.exercise_date: RSUs shall vest over three years, with a third of the RSUs vesting on the one-year anniversary of the vesting commencement date, which is February 15, 2021, and the remaining shares vesting quarterly in 1/12th installments over the next two years, subject to Reporting Person remaining a service provider on each applicable vesting date.

SEC source: 0001209191-21-011096 · doc4.xml · derivative · entry 3

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,150

Underlying: Class A Common Stock · 66,150 shares

Expires 2031-02-10

F4 · derivative.exercise_price: Each of the Performance Stock Units (the "PSUs") represents a contingent right to receive one (1) share of the Class A Common Stock of the Issuer upon settlement.

F5 · derivative.exercise_date: On June 12, 2020, the Reporting Person was granted a PSU award for a target number of 45,000 shares of Class A common stock, subject to the achievement of certain financial performance criteria during the performance period. The Reporting Person fully met the performance criteria as determined by the Compensation Committee on February 11, 2021, which resulted in a payout of 1.47 times the target. The PSUs shall vest annually over three (3) years, with a third of the PSU vesting on February 15, 2021, another third on February 15, 2022 and the remaining third on February 15, 2023, subject to Reporting Person remaining a service provider on each applicable vesting date.

SEC source: 0001209191-21-011096 · doc4.xml · derivative · entry 2

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,000

Underlying: Class A Common Stock · 36,000 shares

Expires 2031-02-10

F1 · derivative.exercise_price: Each of the Restricted Stock Units (the "RSUs") represents a contingent right to receive one (1) share of the Class A Common Stock of the Issuer upon settlement.

F3 · derivative.exercise_date: RSUs will fully vest on December 21, 2022.

SEC source: 0001209191-21-011096 · doc4.xml · derivative · entry 1

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,978

Underlying: Class A Common Stock · 38,978 shares

Expires 2031-02-10

F1 · derivative.exercise_price: Each of the Restricted Stock Units (the "RSUs") represents a contingent right to receive one (1) share of the Class A Common Stock of the Issuer upon settlement.

F2 · derivative.exercise_date: RSUs shall vest over three years, with a third of the RSUs vesting on the one-year anniversary of the vesting commencement date, which is February 15, 2021, and the remaining shares vesting quarterly in 1/12th installments over the next two years, subject to Reporting Person remaining a service provider on each applicable vesting date.

SEC source: 0001209191-21-005782 · doc4.xml · nonDerivative · entry 4

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,446

F3 · kind: Sale of shares were effected pursuant to a Rule 10b5-1 trading plan by the Reporting Person.

F4 · price: The price reported represents the weighted average sale price per share. These shares were sold in multiple transactions at prices ranging from $37.33 to $41.45 per share. Upon request by the staff of the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-21-005782 · doc4.xml · derivative · entry 10

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 14,538 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.

F7 · derivative.exercise_price: The Class B Common Stock is convertible into Class A Common Stock of the the Issuer 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 5th 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 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 Board of the Issuer to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F7 · derivative.exercise_date: The Class B Common Stock is convertible into Class A Common Stock of the the Issuer 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 5th 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 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 Board of the Issuer to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F7 · derivative.expiration_date: The Class B Common Stock is convertible into Class A Common Stock of the the Issuer 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 5th 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 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 Board of the Issuer to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

SEC source: 0001209191-21-005782 · doc4.xml · derivative · entry 9

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,538

Underlying: Class A Common Stock · 8,888 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.

F7 · derivative.exercise_price: The Class B Common Stock is convertible into Class A Common Stock of the the Issuer 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 5th 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 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 Board of the Issuer to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F7 · derivative.exercise_date: The Class B Common Stock is convertible into Class A Common Stock of the the Issuer 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 5th 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 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 Board of the Issuer to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F7 · derivative.expiration_date: The Class B Common Stock is convertible into Class A Common Stock of the the Issuer 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 5th 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 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 Board of the Issuer to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

SEC source: 0001209191-21-005782 · doc4.xml · nonDerivative · entry 3

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,373

F1 · kind: Sale of shares to cover taxes incurred upon vesting of restricted stock units (the "RSUs"), in accordance with a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported represents the weighted average sale price per share. These shares were sold in multiple transactions at prices ranging from $38.08 to $39.8097 per share. Upon request by the staff of the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-21-005782 · doc4.xml · nonDerivative · entry 2

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,872

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.

SEC source: 0001209191-21-005782 · doc4.xml · nonDerivative · entry 1

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,334

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.

SEC source: 0001209191-21-005782 · doc4.xml · derivative · entry 8

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,426

Underlying: Class A Common Stock · 14,538 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.

F7 · derivative.exercise_price: The Class B Common Stock is convertible into Class A Common Stock of the the Issuer 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 5th 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 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 Board of the Issuer to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F7 · derivative.exercise_date: The Class B Common Stock is convertible into Class A Common Stock of the the Issuer 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 5th 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 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 Board of the Issuer to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F7 · derivative.expiration_date: The Class B Common Stock is convertible into Class A Common Stock of the the Issuer 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 5th 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 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 Board of the Issuer to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

SEC source: 0001209191-21-005782 · doc4.xml · derivative · entry 7

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B Common Stock · 14,538 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.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of Class B Common Stock of the Issuer upon settlement.

F8 · derivative.exercise_date: The RSUs vested 34% on January 25, 2019 and the remaining RSUs vested in two equal installments on each of January 25, 2020 and January 25, 2021.

F8 · derivative.expiration_date: The RSUs vested 34% on January 25, 2019 and the remaining RSUs vested in two equal installments on each of January 25, 2020 and January 25, 2021.

SEC source: 0001209191-21-005782 · doc4.xml · derivative · entry 6

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,888

Underlying: Class A Common Stock · 8,888 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.

F7 · derivative.exercise_price: The Class B Common Stock is convertible into Class A Common Stock of the the Issuer 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 5th 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 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 Board of the Issuer to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F7 · derivative.exercise_date: The Class B Common Stock is convertible into Class A Common Stock of the the Issuer 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 5th 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 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 Board of the Issuer to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

F7 · derivative.expiration_date: The Class B Common Stock is convertible into Class A Common Stock of the the Issuer 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 5th 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 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 Board of the Issuer to so convert all shares of Class B Common Stock, or (iv) immediately following the date of the death of KR Sridhar.

SEC source: 0001209191-21-005782 · doc4.xml · derivative · entry 5

Venkataraman Swaminathan · CIK 0001746127 · EVP & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B Common Stock · 8,888 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.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of Class B Common Stock of the Issuer upon settlement.

F6 · derivative.exercise_date: The RSUs vested 34% on January 25, 2019 and the remaining RSUs vested in two equal installments on each of January 25, 2020 and January 25, 2021.

F6 · derivative.expiration_date: The RSUs vested 34% on January 25, 2019 and the remaining RSUs vested in two equal installments on each of January 25, 2020 and January 25, 2021.