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NEW ENTERPRISE ASSOCIATES 10 L P

Disclosed activity across 4 companies

Tapewire entity
137528
SEC CIK
0001132326

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Bloom Energy CorpBE · Entity 265910% ownerAugust 14, 2020August 18, 2020
CRESCENT BIOPHARMA, INC.GLYC · Entity 525510% ownerMay 10, 2018May 11, 2018
CVRx, Inc.CVRX · Entity 692010% ownerJuly 02, 2021July 07, 2021

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.

Bloom Energy Corp

Report date August 14, 2020 · Filed August 18, 2020

Jointly reported with NEA PARTNERS 10 L P

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
10% Convertible NotesSEC Table II · derivative / convertible security · Conversion / exercise price $8.00 · Expires 2021-12-01DirectNot disclosed Reported balance After 2020-08-14 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2020-08-14 · Conversion · Disposed Not disclosed · Balance Not disclosed

F1: The outstanding principal on the 10% Notes is convertible at any time prior to maturity at the option of the holders thereof into shares of the Issuer's Class B common stock at a conversion price of $8.00. The 10% Notes will mature on December 1, 2021 and bear interest at a fixed rate of 10% per annum, payable monthly in cash.

F2: The Class B common stock is convertible into the Issuer's Class A common stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of the Issuer's 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 the closing of Issuer's IPO, (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 of the aggregate number of shares of Class A common stock and Class B common stock then outstanding, (iii) the date and time, or the occurrence of an event, specified in a written conversion election delivered by KR Sridhar to the Issuer's Secretary or Chairman of the Board to so convert all shares of Class B common stock, or (iv) immediately following the date of the death of KR Sridhar.

F3: Represents shares of Class B common stock issuable upon conversion of $33,867,049 in aggregate principal amount of 10% Notes at a conversion rate of 125 shares of Class B common stock per $1,000 principal amount of the 10% Notes.

F4: The securities are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 securities in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Class B Common StockSEC Table II · derivative / convertible securityDirect11,963,020 Reported balance After 2020-08-14 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2020-08-14 · Conversion · Acquired 4,233,381 · Balance 11,963,020

F2: The Class B common stock is convertible into the Issuer's Class A common stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of the Issuer's 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 the closing of Issuer's IPO, (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 of the aggregate number of shares of Class A common stock and Class B common stock then outstanding, (iii) the date and time, or the occurrence of an event, specified in a written conversion election delivered by KR Sridhar to the Issuer's Secretary or Chairman of the Board to so convert all shares of Class B common stock, or (iv) immediately following the date of the death of KR Sridhar.

F4: The securities are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 securities in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Filing footnotes · ownership attribution and instrument terms

F1: The outstanding principal on the 10% Notes is convertible at any time prior to maturity at the option of the holders thereof into shares of the Issuer's Class B common stock at a conversion price of $8.00. The 10% Notes will mature on December 1, 2021 and bear interest at a fixed rate of 10% per annum, payable monthly in cash.

F2: The Class B common stock is convertible into the Issuer's Class A common stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of the Issuer's 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 the closing of Issuer's IPO, (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 of the aggregate number of shares of Class A common stock and Class B common stock then outstanding, (iii) the date and time, or the occurrence of an event, specified in a written conversion election delivered by KR Sridhar to the Issuer's Secretary or Chairman of the Board to so convert all shares of Class B common stock, or (iv) immediately following the date of the death of KR Sridhar.

F3: Represents shares of Class B common stock issuable upon conversion of $33,867,049 in aggregate principal amount of 10% Notes at a conversion rate of 125 shares of Class B common stock per $1,000 principal amount of the 10% Notes.

F4: The securities are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 securities in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

CRESCENT BIOPHARMA, INC.

Report date May 10, 2018 · Filed May 11, 2018

Jointly reported with NEA PARTNERS 10 L P

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect4,995,664 Last balance in matching sequence After 2018-05-10 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rows

Row 1 · 2018-05-10 · Other · Acquired 216,046 · Balance 4,706,797

F1: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partners of NEA Partners 10 (NEA Partners 10 and its individual general partners together, the "Indirect Reporting Persons"). The individual general partners of NEA Partners 10 are Peter J. Barris, M. James Barrett and Scott D. Sandell. Each Indirect Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which such Indirect Reporting Person has no pecuniary interest.

Row 2 · 2018-05-10 · Sale · Disposed 4,006 · Balance 4,702,791

F2: On May 10, 2018, NEA 10 exercised warrants to purchase a total of 216,046 shares of the Issuer's common stock for $0.33 a share. NEA 10 paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 4,006 of the warrant shares to pay the exercise price and issuing 212,040 shares to NEA 10. The Issuer also paid cash to NEA 10 in lieu of any fractional shares to be issued upon exercise of the warrants.

F1: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partners of NEA Partners 10 (NEA Partners 10 and its individual general partners together, the "Indirect Reporting Persons"). The individual general partners of NEA Partners 10 are Peter J. Barris, M. James Barrett and Scott D. Sandell. Each Indirect Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which such Indirect Reporting Person has no pecuniary interest.

Row 3 · 2018-05-10 · Other · Acquired 298,406 · Balance 5,001,197

F1: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partners of NEA Partners 10 (NEA Partners 10 and its individual general partners together, the "Indirect Reporting Persons"). The individual general partners of NEA Partners 10 are Peter J. Barris, M. James Barrett and Scott D. Sandell. Each Indirect Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which such Indirect Reporting Person has no pecuniary interest.

Row 4 · 2018-05-10 · Sale · Disposed 5,533 · Balance 4,995,664

F3: On May 10, 2018, NEA 10 exercised warrants to purchase a total of 298,406 shares of the Issuer's common stock for $0.33 a share. NEA 10 paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 5,533 of the warrant shares to pay the exercise price and issuing 292,873 shares to NEA 10. The Issuer also paid cash to NEA 10 in lieu of any fractional shares to be issued upon exercise of the warrants.

F1: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partners of NEA Partners 10 (NEA Partners 10 and its individual general partners together, the "Indirect Reporting Persons"). The individual general partners of NEA Partners 10 are Peter J. Barris, M. James Barrett and Scott D. Sandell. Each Indirect Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which such Indirect Reporting Person has no pecuniary interest.

Warrant to Purchase Common Stock (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.33 · Expires 2018-07-03Direct0 Reported balance After 2018-05-10 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2018-05-10 · Other · Disposed 216,046 · Balance 0

F1: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partners of NEA Partners 10 (NEA Partners 10 and its individual general partners together, the "Indirect Reporting Persons"). The individual general partners of NEA Partners 10 are Peter J. Barris, M. James Barrett and Scott D. Sandell. Each Indirect Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which such Indirect Reporting Person has no pecuniary interest.

Warrant to Purchase Common Stock (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.33 · Expires 2019-01-16Direct0 Reported balance After 2018-05-10 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2018-05-10 · Other · Disposed 298,406 · Balance 0

F1: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partners of NEA Partners 10 (NEA Partners 10 and its individual general partners together, the "Indirect Reporting Persons"). The individual general partners of NEA Partners 10 are Peter J. Barris, M. James Barrett and Scott D. Sandell. Each Indirect Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which such Indirect Reporting Person has no pecuniary interest.

Filing footnotes · ownership attribution and instrument terms

F1: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partners of NEA Partners 10 (NEA Partners 10 and its individual general partners together, the "Indirect Reporting Persons"). The individual general partners of NEA Partners 10 are Peter J. Barris, M. James Barrett and Scott D. Sandell. Each Indirect Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which such Indirect Reporting Person has no pecuniary interest.

F2: On May 10, 2018, NEA 10 exercised warrants to purchase a total of 216,046 shares of the Issuer's common stock for $0.33 a share. NEA 10 paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 4,006 of the warrant shares to pay the exercise price and issuing 212,040 shares to NEA 10. The Issuer also paid cash to NEA 10 in lieu of any fractional shares to be issued upon exercise of the warrants.

F3: On May 10, 2018, NEA 10 exercised warrants to purchase a total of 298,406 shares of the Issuer's common stock for $0.33 a share. NEA 10 paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 5,533 of the warrant shares to pay the exercise price and issuing 292,873 shares to NEA 10. The Issuer also paid cash to NEA 10 in lieu of any fractional shares to be issued upon exercise of the warrants.

CVRx, Inc.

Report date July 02, 2021 · Filed July 07, 2021

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect2,026,083 Ending reported balance After 2021-07-02 transaction · row 8
8 source rows · reconciled sequence

Row 1 · 2021-07-02 · Conversion · Acquired 58,175 · Balance 58,175

F1: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

Row 2 · 2021-07-02 · Conversion · Acquired 57,241 · Balance 115,416

F1: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

Row 3 · 2021-07-02 · Conversion · Acquired 71,077 · Balance 186,493

F1: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

Row 4 · 2021-07-02 · Conversion · Acquired 80,178 · Balance 266,671

F1: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

Row 5 · 2021-07-02 · Conversion · Acquired 83,396 · Balance 350,067

F1: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

Row 6 · 2021-07-02 · Conversion · Acquired 253,605 · Balance 603,672

F1: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

Row 7 · 2021-07-02 · Conversion · Acquired 1,196,911 · Balance 1,800,583

F2: Upon the closing of the Issuer's initial public offering, each share of Series G Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.0632143218.

Row 8 · 2021-07-02 · Purchase · Acquired 225,500 · Balance 2,026,083

Series A-2 Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2021-07-02 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2021-07-02 · Conversion · Disposed 2,300,708 · Balance 0

F1: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

F3: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

Series B-2 Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2021-07-02 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2021-07-02 · Conversion · Disposed 2,263,778 · Balance 0

F1: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

F3: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

Series C-2 Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2021-07-02 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · 2021-07-02 · Conversion · Disposed 2,810,950 · Balance 0

F1: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

F3: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

Series D-2 Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2021-07-02 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2021-07-02 · Conversion · Disposed 3,170,896 · Balance 0

F1: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

F3: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

Series E-2 Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2021-07-02 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · 2021-07-02 · Conversion · Disposed 3,298,154 · Balance 0

F1: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

F3: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

Series F-2 Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2021-07-02 transaction · row 14 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 14 · 2021-07-02 · Conversion · Disposed 10,029,566 · Balance 0

F1: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

F3: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

Series G Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2021-07-02 transaction · row 15 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 15 · 2021-07-02 · Conversion · Disposed 18,934,168 · Balance 0

F2: Upon the closing of the Issuer's initial public offering, each share of Series G Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.0632143218.

F3: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

Filing footnotes · ownership attribution and instrument terms

F1: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

F2: Upon the closing of the Issuer's initial public offering, each share of Series G Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.0632143218.

F3: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

Past disclosures · reporting ended (1)

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

Senseonics Holdings, Inc.

Report date April 27, 2020 · Filed April 29, 2020

Jointly reported with NEA PARTNERS 10 L P, SANDELL SCOTT D

Section 16 reporting ended · disclosed 2020-04-29. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect19,476,414 Last balance in matching sequence After 2020-04-29 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2020-04-27 · Sale · Disposed 95,469 · Balance 19,652,180

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6200 to $0.6290, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Row 2 · 2020-04-28 · Sale · Disposed 31,228 · Balance 19,620,952

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6003 to $0.6085, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

F2: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Row 3 · 2020-04-29 · Sale · Disposed 144,538 · Balance 19,476,414

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6000 to $0.6098, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

F2: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6200 to $0.6290, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6003 to $0.6085, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6000 to $0.6098, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

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
July 02, 2021 Filed Jul 7, 2021 16:47 UTC CVRx, Inc. CVRX · Entity 6920 ConversionSeries G Preferred Stock · Derivative 18,934,168 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-045826 · doc4.xml · derivative · entry 15

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,196,911 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: Upon the closing of the Issuer's initial public offering, each share of Series G Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.0632143218.

F3 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

F3 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 16:47 UTC CVRx, Inc. CVRX · Entity 6920 ConversionSeries F-2 Preferred Stock · Derivative 10,029,566 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-045826 · doc4.xml · derivative · entry 14

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 253,605 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: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

F3 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

F3 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 16:47 UTC CVRx, Inc. CVRX · Entity 6920 ConversionSeries E-2 Preferred Stock · Derivative 3,298,154 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-045826 · doc4.xml · derivative · entry 13

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 83,396 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: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

F3 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

F3 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 16:47 UTC CVRx, Inc. CVRX · Entity 6920 ConversionSeries D-2 Preferred Stock · Derivative 3,170,896 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-045826 · doc4.xml · derivative · entry 12

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 80,178 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: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

F3 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

F3 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 16:47 UTC CVRx, Inc. CVRX · Entity 6920 ConversionSeries C-2 Preferred Stock · Derivative 2,810,950 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-045826 · doc4.xml · derivative · entry 11

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 71,077 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: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

F3 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

F3 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 16:47 UTC CVRx, Inc. CVRX · Entity 6920 ConversionSeries B-2 Preferred Stock · Derivative 2,263,778 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-045826 · doc4.xml · derivative · entry 10

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 57,241 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: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

F3 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

F3 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 16:47 UTC CVRx, Inc. CVRX · Entity 6920 ConversionSeries A-2 Preferred Stock · Derivative 2,300,708 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-045826 · doc4.xml · derivative · entry 9

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 58,175 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: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

F3 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

F3 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of common stock at the then-appliable conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares). The conversion rates reported reflect the conversion ratios under the Issuer's certificate of incorporation, adjusted to give effect to the previously effected 1-for-39.548 reverse stock split of the common stock.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 16:47 UTC CVRx, Inc. CVRX · Entity 6920 PurchaseCommon Stock 225,500 $18.00 $4,059,000.00
Disclosure

SEC source: 0001209191-21-045826 · doc4.xml · nonDerivative · entry 8

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,026,083

Read SEC document
July 02, 2021 Filed Jul 7, 2021 16:47 UTC CVRx, Inc. CVRX · Entity 6920 ConversionCommon Stock 1,196,911 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-045826 · doc4.xml · nonDerivative · entry 7

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,800,583

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: Upon the closing of the Issuer's initial public offering, each share of Series G Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.0632143218.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 16:47 UTC CVRx, Inc. CVRX · Entity 6920 ConversionCommon Stock 253,605 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-045826 · doc4.xml · nonDerivative · entry 6

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 603,672

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: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 16:47 UTC CVRx, Inc. CVRX · Entity 6920 ConversionCommon Stock 83,396 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-045826 · doc4.xml · nonDerivative · entry 5

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,067

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: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 16:47 UTC CVRx, Inc. CVRX · Entity 6920 ConversionCommon Stock 80,178 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-045826 · doc4.xml · nonDerivative · entry 4

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 266,671

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: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 16:47 UTC CVRx, Inc. CVRX · Entity 6920 ConversionCommon Stock 71,077 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-045826 · doc4.xml · nonDerivative · entry 3

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,493

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: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 16:47 UTC CVRx, Inc. CVRX · Entity 6920 ConversionCommon Stock 57,241 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-045826 · doc4.xml · nonDerivative · entry 2

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,416

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: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 16:47 UTC CVRx, Inc. CVRX · Entity 6920 ConversionCommon Stock 58,175 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-045826 · doc4.xml · nonDerivative · entry 1

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,175

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: Upon the closing of the Issuer's initial public offering, each share of Series A-2 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C-2 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock, Series E-2 Convertible Preferred Stock and Series F-2 Convertible Preferred Stock automatically converted into shares of common stock at a rate of 1-for-0.025857287.

Read SEC document
August 14, 2020 Filed Aug 18, 2020 17:33 UTC Bloom Energy Corp BE · Entity 2659 ConversionClass B Common Stock · Derivative 4,233,381 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-047245 · doc4.xml · derivative · entry 2

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,963,020

Underlying: Class A Common Stock · 4,233,381 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 the Issuer's Class A common stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of the Issuer's 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 the closing of Issuer's IPO, (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 of the aggregate number of shares of Class A common stock and Class B common stock then outstanding, (iii) the date and time, or the occurrence of an event, specified in a written conversion election delivered by KR Sridhar to the Issuer's Secretary or Chairman of the Board to so convert all shares of Class B common stock, or (iv) immediately following the date of the death of KR Sridhar.

F2 · derivative.exercise_date: The Class B common stock is convertible into the Issuer's Class A common stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of the Issuer's 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 the closing of Issuer's IPO, (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 of the aggregate number of shares of Class A common stock and Class B common stock then outstanding, (iii) the date and time, or the occurrence of an event, specified in a written conversion election delivered by KR Sridhar to the Issuer's Secretary or Chairman of the Board to so convert all shares of Class B common stock, or (iv) immediately following the date of the death of KR Sridhar.

F2 · derivative.expiration_date: The Class B common stock is convertible into the Issuer's Class A common stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of the Issuer's 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 the closing of Issuer's IPO, (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 of the aggregate number of shares of Class A common stock and Class B common stock then outstanding, (iii) the date and time, or the occurrence of an event, specified in a written conversion election delivered by KR Sridhar to the Issuer's Secretary or Chairman of the Board to so convert all shares of Class B common stock, or (iv) immediately following the date of the death of KR Sridhar.

F4 · ownership.direct: The securities are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 securities in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
August 14, 2020 Filed Aug 18, 2020 17:33 UTC Bloom Energy Corp BE · Entity 2659 Conversion10% Convertible Notes · Derivative Not disclosed $0.00 Strike: $8.00 $33,867,049.00
Disclosure

SEC source: 0001209191-20-047245 · doc4.xml · derivative · entry 1

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Class B Common Stock · 4,233,381 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 · derivative.exercise_date: The outstanding principal on the 10% Notes is convertible at any time prior to maturity at the option of the holders thereof into shares of the Issuer's Class B common stock at a conversion price of $8.00. The 10% Notes will mature on December 1, 2021 and bear interest at a fixed rate of 10% per annum, payable monthly in cash.

F2 · derivative.underlying: The Class B common stock is convertible into the Issuer's Class A common stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of the Issuer's 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 the closing of Issuer's IPO, (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 of the aggregate number of shares of Class A common stock and Class B common stock then outstanding, (iii) the date and time, or the occurrence of an event, specified in a written conversion election delivered by KR Sridhar to the Issuer's Secretary or Chairman of the Board to so convert all shares of Class B common stock, or (iv) immediately following the date of the death of KR Sridhar.

F3 · derivative.underlying_shares: Represents shares of Class B common stock issuable upon conversion of $33,867,049 in aggregate principal amount of 10% Notes at a conversion rate of 125 shares of Class B common stock per $1,000 principal amount of the 10% Notes.

F4 · ownership.direct: The securities are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 securities in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 29, 2020 Filed Apr 29, 2020 18:00 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 144,538 $0.60 $87,156.41
Disclosure

SEC source: 0001209191-20-026216 · doc4.xml · nonDerivative · entry 3

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,476,414

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6000 to $0.6098, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 28, 2020 Filed Apr 29, 2020 18:00 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 31,228 $0.60 $18,833.61
Disclosure

SEC source: 0001209191-20-026216 · doc4.xml · nonDerivative · entry 2

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,620,952

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6003 to $0.6085, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 27, 2020 Filed Apr 29, 2020 18:00 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 95,469 $0.62 $59,610.84
Disclosure

SEC source: 0001209191-20-026216 · doc4.xml · nonDerivative · entry 1

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,652,180

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6200 to $0.6290, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 22, 2020 Filed Apr 23, 2020 17:18 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 119,712 $0.63 $75,861.49
Disclosure

SEC source: 0001209191-20-025454 · doc4.xml · nonDerivative · entry 2

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,747,649

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6234 to $0.6584, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 21, 2020 Filed Apr 23, 2020 17:18 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 45,349 $0.66 $29,998.36
Disclosure

SEC source: 0001209191-20-025454 · doc4.xml · nonDerivative · entry 1

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,867,361

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6555 to $0.6650, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 20, 2020 Filed Apr 20, 2020 18:43 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 94,663 $0.69 $65,270.14
Disclosure

SEC source: 0001209191-20-025162 · doc4.xml · nonDerivative · entry 3

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,912,710

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6849 to $0.6936, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 17, 2020 Filed Apr 20, 2020 18:43 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 59,135 $0.68 $40,241.37
Disclosure

SEC source: 0001209191-20-025162 · doc4.xml · nonDerivative · entry 2

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,007,373

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6710 to $0.6848, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 16, 2020 Filed Apr 20, 2020 18:43 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 49,786 $0.67 $33,416.36
Disclosure

SEC source: 0001209191-20-025162 · doc4.xml · nonDerivative · entry 1

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,066,508

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6600 to $0.6800, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 15, 2020 Filed Apr 15, 2020 18:52 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 59,569 $0.68 $40,375.87
Disclosure

SEC source: 0001209191-20-024538 · doc4.xml · nonDerivative · entry 3

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,116,294

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6602 to $0.6822, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 14, 2020 Filed Apr 15, 2020 18:52 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 48,564 $0.68 $33,227.49
Disclosure

SEC source: 0001209191-20-024538 · doc4.xml · nonDerivative · entry 2

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,175,863

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6814 to $0.6900, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 13, 2020 Filed Apr 15, 2020 18:52 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 70,184 $0.66 $46,363.55
Disclosure

SEC source: 0001209191-20-024538 · doc4.xml · nonDerivative · entry 1

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,224,427

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6500 to $0.6710, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 09, 2020 Filed Apr 9, 2020 17:15 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 128,301 $0.67 $85,525.45
Disclosure

SEC source: 0001209191-20-024068 · doc4.xml · nonDerivative · entry 3

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,294,611

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6438 to $0.6892, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 08, 2020 Filed Apr 9, 2020 17:15 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 98,802 $0.63 $62,403.34
Disclosure

SEC source: 0001209191-20-024068 · doc4.xml · nonDerivative · entry 2

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,422,912

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6263 to $0.6400, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 07, 2020 Filed Apr 9, 2020 17:15 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 101,116 $0.62 $62,722.25
Disclosure

SEC source: 0001209191-20-024068 · doc4.xml · nonDerivative · entry 1

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,521,714

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6144 to $0.6369, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 06, 2020 Filed Apr 6, 2020 18:52 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 119,929 $0.59 $70,710.14
Disclosure

SEC source: 0001209191-20-023660 · doc4.xml · nonDerivative · entry 3

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,622,830

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.5825 to $0.5970, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 03, 2020 Filed Apr 6, 2020 18:52 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 59,699 $0.52 $31,336.01
Disclosure

SEC source: 0001209191-20-023660 · doc4.xml · nonDerivative · entry 2

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,742,759

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.5218 to $0.5443, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 02, 2020 Filed Apr 6, 2020 18:52 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 111,699 $0.56 $62,261.02
Disclosure

SEC source: 0001209191-20-023660 · doc4.xml · nonDerivative · entry 1

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,802,458

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.5526 to $0.5641, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 01, 2020 Filed Apr 1, 2020 18:31 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 42,935 $0.58 $24,842.19
Disclosure

SEC source: 0001209191-20-022254 · doc4.xml · nonDerivative · entry 3

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,914,157

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.5727 to $0.5846, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
March 31, 2020 Filed Apr 1, 2020 18:31 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 79,919 $0.63 $50,069.25
Disclosure

SEC source: 0001209191-20-022254 · doc4.xml · nonDerivative · entry 2

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,957,092

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6078 to $0.6330, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

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March 31, 2020 Filed May 1, 2020 16:36 UTC Bloom Energy Corp BE · Entity 2659 Purchase10% Convertible Notes · Derivative Not disclosed $20,000,000.00 Strike: $8.00 $20,000,000.00
Disclosure

SEC source: 0001209191-20-026552 · doc4.xml · derivative · entry 3

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Class B Common Stock · 2,500,000 shares

Expires 2021-12-01

F8 · derivative.exercise_date: The outstanding principal on the 10% Notes is convertible at any time prior to maturity at the option of the holders thereof into shares of the Issuer's Class B common stock at a conversion price of $8.00; provided, however, that the Amended Indenture provides that all conversions that would require stockholder approval will be settled in cash if such required stockholder approval has not been obtained. KR Sridhar, the Chief Executive Officer of the Company and the beneficial owner of a majority of the voting power of the Issuer, entered into a Support Agreement in which he has agreed to vote in favor of permitting the Issuer to settle all conversions of the 10% Notes in shares of the Company's Class A common stock or Class B common stock, as applicable, in compliance with all applicable rules of the New York Stock Exchange. The 10% Notes will mature on December 1, 2021 and bear interest at a fixed rate of 10% per annum, payable monthly in cash.

F5 · derivative.underlying: The Class B common stock is convertible into the Issuer's Class A common stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of the Issuer's 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 the closing of Issuer's IPO, (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 of the aggregate number of shares of Class A common stock and Class B common stock then outstanding, (iii) the date and time, or the occurrence of an event, specified in a written conversion election delivered by KR Sridhar to the Issuer's Secretary or Chairman of the Board to so convert all shares of Class B common stock, or (iv) immediately following the date of the death of KR Sridhar.

F10 · derivative.underlying_shares: Represents shares of Class B common stock issuable upon conversion of $20,000,000 in aggregate principal amount of 10% Notes at a conversion rate of 125 shares of Class B common stock per $1,000 principal amount of the 10% Notes.

F7 · ownership.direct: The securities are directly held by NEA 10 and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 securities in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

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March 31, 2020 Filed May 1, 2020 16:36 UTC Bloom Energy Corp BE · Entity 2659 Purchase10% Convertible Notes · Derivative Not disclosed Not disclosed Strike: $8.00 $13,867,049.00
Disclosure

SEC source: 0001209191-20-026552 · doc4.xml · derivative · entry 2

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Class B Common Stock · 1,733,381 shares

Expires 2021-12-01

F1 · kind: The two reported transactions involve an amendment of outstanding convertible notes. On March 31, 2020, New Enterprise Associates 10, Limited Partnership ("NEA 10") entered into an Amendment Support Agreement with the Issuer and other investors which contemplates an amendment of the Issuer's 6% Convertible Senior Secured Notes due December 1, 2020 (the "6% Notes"). The Reporting Persons' beneficial ownership of the 6% Notes was previously reported on a Form 3/A filed on August 8, 2018. Upon amendment of the Indenture pursuant to which the 6% Notes are outstanding on April 20, 2020 (the "Amended Indenture"), the conversion price of the 6% Notes was reduced from $11.25 to $8.00, the maturity date was extended from December 1, 2020 to December 1, 2021 and the interest rate was increased from 6% to 10%, among other amendments (such 6% Notes, as amended, the "10% Notes").

F2 · kind: The amendment of the 6% Notes results in the deemed cancellation of the 6% Notes and the deemed acquisition by the Reporting Persons of the 10% Notes.

F3 · reported_value: Amount includes original promissory note with a face amount of $12,500,000 plus payable in kind interest received in the form of additional 6% Notes.

F1 · price: The two reported transactions involve an amendment of outstanding convertible notes. On March 31, 2020, New Enterprise Associates 10, Limited Partnership ("NEA 10") entered into an Amendment Support Agreement with the Issuer and other investors which contemplates an amendment of the Issuer's 6% Convertible Senior Secured Notes due December 1, 2020 (the "6% Notes"). The Reporting Persons' beneficial ownership of the 6% Notes was previously reported on a Form 3/A filed on August 8, 2018. Upon amendment of the Indenture pursuant to which the 6% Notes are outstanding on April 20, 2020 (the "Amended Indenture"), the conversion price of the 6% Notes was reduced from $11.25 to $8.00, the maturity date was extended from December 1, 2020 to December 1, 2021 and the interest rate was increased from 6% to 10%, among other amendments (such 6% Notes, as amended, the "10% Notes").

F2 · price: The amendment of the 6% Notes results in the deemed cancellation of the 6% Notes and the deemed acquisition by the Reporting Persons of the 10% Notes.

F8 · derivative.exercise_date: The outstanding principal on the 10% Notes is convertible at any time prior to maturity at the option of the holders thereof into shares of the Issuer's Class B common stock at a conversion price of $8.00; provided, however, that the Amended Indenture provides that all conversions that would require stockholder approval will be settled in cash if such required stockholder approval has not been obtained. KR Sridhar, the Chief Executive Officer of the Company and the beneficial owner of a majority of the voting power of the Issuer, entered into a Support Agreement in which he has agreed to vote in favor of permitting the Issuer to settle all conversions of the 10% Notes in shares of the Company's Class A common stock or Class B common stock, as applicable, in compliance with all applicable rules of the New York Stock Exchange. The 10% Notes will mature on December 1, 2021 and bear interest at a fixed rate of 10% per annum, payable monthly in cash.

F5 · derivative.underlying: The Class B common stock is convertible into the Issuer's Class A common stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of the Issuer's 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 the closing of Issuer's IPO, (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 of the aggregate number of shares of Class A common stock and Class B common stock then outstanding, (iii) the date and time, or the occurrence of an event, specified in a written conversion election delivered by KR Sridhar to the Issuer's Secretary or Chairman of the Board to so convert all shares of Class B common stock, or (iv) immediately following the date of the death of KR Sridhar.

F9 · derivative.underlying_shares: Represents shares of Class B common stock issuable upon conversion of $13,867,049 in aggregate principal amount of 10% Notes at a conversion rate of 125 shares of Class B common stock per $1,000 principal amount of the 10% Notes.

F7 · ownership.direct: The securities are directly held by NEA 10 and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 securities in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
March 31, 2020 Filed May 1, 2020 16:36 UTC Bloom Energy Corp BE · Entity 2659 Other6% Convertible Notes · Derivative Not disclosed Not disclosed Strike: $11.25 $13,867,049.00
Disclosure

SEC source: 0001209191-20-026552 · doc4.xml · derivative · entry 1

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Class B Common Stock · 1,232,627 shares

Expires 2020-12-01

F1 · kind: The two reported transactions involve an amendment of outstanding convertible notes. On March 31, 2020, New Enterprise Associates 10, Limited Partnership ("NEA 10") entered into an Amendment Support Agreement with the Issuer and other investors which contemplates an amendment of the Issuer's 6% Convertible Senior Secured Notes due December 1, 2020 (the "6% Notes"). The Reporting Persons' beneficial ownership of the 6% Notes was previously reported on a Form 3/A filed on August 8, 2018. Upon amendment of the Indenture pursuant to which the 6% Notes are outstanding on April 20, 2020 (the "Amended Indenture"), the conversion price of the 6% Notes was reduced from $11.25 to $8.00, the maturity date was extended from December 1, 2020 to December 1, 2021 and the interest rate was increased from 6% to 10%, among other amendments (such 6% Notes, as amended, the "10% Notes").

F2 · kind: The amendment of the 6% Notes results in the deemed cancellation of the 6% Notes and the deemed acquisition by the Reporting Persons of the 10% Notes.

F3 · reported_value: Amount includes original promissory note with a face amount of $12,500,000 plus payable in kind interest received in the form of additional 6% Notes.

F1 · price: The two reported transactions involve an amendment of outstanding convertible notes. On March 31, 2020, New Enterprise Associates 10, Limited Partnership ("NEA 10") entered into an Amendment Support Agreement with the Issuer and other investors which contemplates an amendment of the Issuer's 6% Convertible Senior Secured Notes due December 1, 2020 (the "6% Notes"). The Reporting Persons' beneficial ownership of the 6% Notes was previously reported on a Form 3/A filed on August 8, 2018. Upon amendment of the Indenture pursuant to which the 6% Notes are outstanding on April 20, 2020 (the "Amended Indenture"), the conversion price of the 6% Notes was reduced from $11.25 to $8.00, the maturity date was extended from December 1, 2020 to December 1, 2021 and the interest rate was increased from 6% to 10%, among other amendments (such 6% Notes, as amended, the "10% Notes").

F2 · price: The amendment of the 6% Notes results in the deemed cancellation of the 6% Notes and the deemed acquisition by the Reporting Persons of the 10% Notes.

F4 · derivative.exercise_date: Following the Issuer's IPO, the outstanding principal and accrued interest on the 6% Notes became convertible at any time at the option of the holders thereof into shares of Issuer's Class B common stock.

F5 · derivative.underlying: The Class B common stock is convertible into the Issuer's Class A common stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of the Issuer's 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 the closing of Issuer's IPO, (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 of the aggregate number of shares of Class A common stock and Class B common stock then outstanding, (iii) the date and time, or the occurrence of an event, specified in a written conversion election delivered by KR Sridhar to the Issuer's Secretary or Chairman of the Board to so convert all shares of Class B common stock, or (iv) immediately following the date of the death of KR Sridhar.

F6 · derivative.underlying_shares: Represents shares of Class B common stock issuable upon conversion of $13,867,049 in aggregate principal amount of 6% Notes at a conversion rate of 88.88888889 shares of Class B common stock per $1,000 principal amount of the 6% Notes.

F7 · ownership.direct: The securities are directly held by NEA 10 and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 securities in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

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March 30, 2020 Filed Apr 1, 2020 18:31 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 171,667 $0.63 $108,682.38
Disclosure

SEC source: 0001209191-20-022254 · doc4.xml · nonDerivative · entry 1

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,037,011

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6223 to $0.6401, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

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March 27, 2020 Filed Mar 27, 2020 17:53 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 175,356 $0.67 $116,857.24
Disclosure

SEC source: 0001209191-20-021468 · doc4.xml · nonDerivative · entry 3

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,208,678

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6601 to $0.6738, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
March 26, 2020 Filed Mar 27, 2020 17:53 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 261,503 $0.74 $192,440.06
Disclosure

SEC source: 0001209191-20-021468 · doc4.xml · nonDerivative · entry 2

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,384,034

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.7163 to $0.7437, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
March 25, 2020 Filed Mar 27, 2020 17:53 UTC Senseonics Holdings, Inc. SENS · Entity 5469 SaleCommon Stock 265,646 $0.80 $212,809.01
Disclosure

SEC source: 0001209191-20-021468 · doc4.xml · nonDerivative · entry 1

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,645,537

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.75 to $0.9012, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
July 27, 2018 Filed Jul 31, 2018 20:16 UTC Bloom Energy Corp BE · Entity 2659 ConversionClass B Common Stock · Derivative 346,239 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-044546 · doc4.xml · derivative · entry 15

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

BARRIS PETER J · CIK 0001005561 · 10% owner

BARRETT M JAMES · CIK 0001219855 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,729,641

Underlying: Class A Common Stock · 346,239 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: The principal amount and accrued interest of the 8% Convertible Preferred Notes ("8% Notes") automatically converted into the specified number of shares of Class B Common Stock as a result of the automatic conversion of the Issuer's outstanding preferred stock in connection with the Issuer's IPO.

F5 · shares: The number of shares reflect both the principle and the interest accrued through July 27, 2018, the date of the automatic conversion.

F4 · derivative.exercise_date: The principal amount and accrued interest of the 8% Convertible Preferred Notes ("8% Notes") automatically converted into the specified number of shares of Class B Common Stock as a result of the automatic conversion of the Issuer's outstanding preferred stock in connection with the Issuer's IPO.

F4 · derivative.expiration_date: The principal amount and accrued interest of the 8% Convertible Preferred Notes ("8% Notes") automatically converted into the specified number of shares of Class B Common Stock as a result of the automatic conversion of the Issuer's outstanding preferred stock in connection with the Issuer's IPO.

F1 · ownership.direct: The securities are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partners of NEA Partners 10 (NEA Partners 10 and its individual general partners together, the "Indirect Reporting Persons"). The individual general partners of NEA Partners 10 are Peter J. Barris, M. James Barrett and Scott D. Sandell. Each Indirect Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 securities in which such Indirect Reporting Person has no pecuniary interest.

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July 27, 2018 Filed Jul 31, 2018 20:16 UTC Bloom Energy Corp BE · Entity 2659 Conversion8% Convertible Preferred Notes · Derivative 346,239 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-044546 · doc4.xml · derivative · entry 14

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

BARRIS PETER J · CIK 0001005561 · 10% owner

BARRETT M JAMES · CIK 0001219855 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Series G Convertible Preferred Stock · 346,239 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: The principal amount and accrued interest of the 8% Convertible Preferred Notes ("8% Notes") automatically converted into the specified number of shares of Class B Common Stock as a result of the automatic conversion of the Issuer's outstanding preferred stock in connection with the Issuer's IPO.

F5 · shares: The number of shares reflect both the principle and the interest accrued through July 27, 2018, the date of the automatic conversion.

F4 · derivative.exercise_date: The principal amount and accrued interest of the 8% Convertible Preferred Notes ("8% Notes") automatically converted into the specified number of shares of Class B Common Stock as a result of the automatic conversion of the Issuer's outstanding preferred stock in connection with the Issuer's IPO.

F4 · derivative.expiration_date: The principal amount and accrued interest of the 8% Convertible Preferred Notes ("8% Notes") automatically converted into the specified number of shares of Class B Common Stock as a result of the automatic conversion of the Issuer's outstanding preferred stock in connection with the Issuer's IPO.

F1 · ownership.direct: The securities are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partners of NEA Partners 10 (NEA Partners 10 and its individual general partners together, the "Indirect Reporting Persons"). The individual general partners of NEA Partners 10 are Peter J. Barris, M. James Barrett and Scott D. Sandell. Each Indirect Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 securities in which such Indirect Reporting Person has no pecuniary interest.

Read SEC document
July 27, 2018 Filed Jul 31, 2018 20:16 UTC Bloom Energy Corp BE · Entity 2659 ConversionClass B Common Stock · Derivative 650,631 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-044546 · doc4.xml · derivative · entry 13

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

BARRIS PETER J · CIK 0001005561 · 10% owner

BARRETT M JAMES · CIK 0001219855 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,383,402

Underlying: Class A Common Stock · 650,631 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: The Class B Common Stock is convertible into the issuer's Class A Common Stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of our Class B common stock will convert automatically into shares of our 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 our Secretary or Chairman of the Board to so convert all shares of Class B common stock, or (iv) immediately following the date of the death of KR Sridhar.

F3 · derivative.exercise_date: The Class B Common Stock is convertible into the issuer's Class A Common Stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of our Class B common stock will convert automatically into shares of our 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 our Secretary or Chairman of the Board to so convert all shares of Class B common stock, or (iv) immediately following the date of the death of KR Sridhar.

F3 · derivative.expiration_date: The Class B Common Stock is convertible into the issuer's Class A Common Stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of our Class B common stock will convert automatically into shares of our 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 our Secretary or Chairman of the Board to so convert all shares of Class B common stock, or (iv) immediately following the date of the death of KR Sridhar.

F1 · ownership.direct: The securities are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partners of NEA Partners 10 (NEA Partners 10 and its individual general partners together, the "Indirect Reporting Persons"). The individual general partners of NEA Partners 10 are Peter J. Barris, M. James Barrett and Scott D. Sandell. Each Indirect Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 securities in which such Indirect Reporting Person has no pecuniary interest.

Read SEC document
July 27, 2018 Filed Jul 31, 2018 20:16 UTC Bloom Energy Corp BE · Entity 2659 ConversionSeries G Convertible Preferred Stock · Derivative 650,631 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-044546 · doc4.xml · derivative · entry 12

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

BARRIS PETER J · CIK 0001005561 · 10% owner

BARRETT M JAMES · CIK 0001219855 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B Common Stock · 650,631 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 B Convertible Preferred Stock, Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into the Issuer's Class B Common Stock, on a 1 for 1 basis, immediately prior to the Closing of the Issuer's initial public offering on July 27, 2018 ("IPO") and had no expiration date.

F2 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into the Issuer's Class B Common Stock, on a 1 for 1 basis, immediately prior to the Closing of the Issuer's initial public offering on July 27, 2018 ("IPO") and had no expiration date.

F2 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into the Issuer's Class B Common Stock, on a 1 for 1 basis, immediately prior to the Closing of the Issuer's initial public offering on July 27, 2018 ("IPO") and had no expiration date.

F3 · derivative.underlying: The Class B Common Stock is convertible into the issuer's Class A Common Stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of our Class B common stock will convert automatically into shares of our 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 our Secretary or Chairman of the Board to so convert all shares of Class B common stock, or (iv) immediately following the date of the death of KR Sridhar.

F1 · ownership.direct: The securities are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partners of NEA Partners 10 (NEA Partners 10 and its individual general partners together, the "Indirect Reporting Persons"). The individual general partners of NEA Partners 10 are Peter J. Barris, M. James Barrett and Scott D. Sandell. Each Indirect Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 securities in which such Indirect Reporting Person has no pecuniary interest.

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July 27, 2018 Filed Jul 31, 2018 20:16 UTC Bloom Energy Corp BE · Entity 2659 ConversionClass B Common Stock · Derivative 125,989 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-044546 · doc4.xml · derivative · entry 11

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

BARRIS PETER J · CIK 0001005561 · 10% owner

BARRETT M JAMES · CIK 0001219855 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,732,771

Underlying: Class A Common Stock · 125,989 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: The Class B Common Stock is convertible into the issuer's Class A Common Stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of our Class B common stock will convert automatically into shares of our 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 our Secretary or Chairman of the Board to so convert all shares of Class B common stock, or (iv) immediately following the date of the death of KR Sridhar.

F3 · derivative.exercise_date: The Class B Common Stock is convertible into the issuer's Class A Common Stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of our Class B common stock will convert automatically into shares of our 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 our Secretary or Chairman of the Board to so convert all shares of Class B common stock, or (iv) immediately following the date of the death of KR Sridhar.

F3 · derivative.expiration_date: The Class B Common Stock is convertible into the issuer's Class A Common Stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of our Class B common stock will convert automatically into shares of our 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 our Secretary or Chairman of the Board to so convert all shares of Class B common stock, or (iv) immediately following the date of the death of KR Sridhar.

F1 · ownership.direct: The securities are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partners of NEA Partners 10 (NEA Partners 10 and its individual general partners together, the "Indirect Reporting Persons"). The individual general partners of NEA Partners 10 are Peter J. Barris, M. James Barrett and Scott D. Sandell. Each Indirect Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 securities in which such Indirect Reporting Person has no pecuniary interest.

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July 27, 2018 Filed Jul 31, 2018 20:16 UTC Bloom Energy Corp BE · Entity 2659 ConversionSeries F Convertible Preferred Stock · Derivative 125,989 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-044546 · doc4.xml · derivative · entry 10

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

BARRIS PETER J · CIK 0001005561 · 10% owner

BARRETT M JAMES · CIK 0001219855 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B Common Stock · 125,989 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 B Convertible Preferred Stock, Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into the Issuer's Class B Common Stock, on a 1 for 1 basis, immediately prior to the Closing of the Issuer's initial public offering on July 27, 2018 ("IPO") and had no expiration date.

F2 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into the Issuer's Class B Common Stock, on a 1 for 1 basis, immediately prior to the Closing of the Issuer's initial public offering on July 27, 2018 ("IPO") and had no expiration date.

F2 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into the Issuer's Class B Common Stock, on a 1 for 1 basis, immediately prior to the Closing of the Issuer's initial public offering on July 27, 2018 ("IPO") and had no expiration date.

F3 · derivative.underlying: The Class B Common Stock is convertible into the issuer's Class A Common Stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of our Class B common stock will convert automatically into shares of our 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 our Secretary or Chairman of the Board to so convert all shares of Class B common stock, or (iv) immediately following the date of the death of KR Sridhar.

F1 · ownership.direct: The securities are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partners of NEA Partners 10 (NEA Partners 10 and its individual general partners together, the "Indirect Reporting Persons"). The individual general partners of NEA Partners 10 are Peter J. Barris, M. James Barrett and Scott D. Sandell. Each Indirect Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 securities in which such Indirect Reporting Person has no pecuniary interest.

Read SEC document
July 27, 2018 Filed Jul 31, 2018 20:16 UTC Bloom Energy Corp BE · Entity 2659 ConversionClass B Common Stock · Derivative 395,815 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-044546 · doc4.xml · derivative · entry 9

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

BARRIS PETER J · CIK 0001005561 · 10% owner

BARRETT M JAMES · CIK 0001219855 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,606,782

Underlying: Class A Common Stock · 395,815 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: The Class B Common Stock is convertible into the issuer's Class A Common Stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of our Class B common stock will convert automatically into shares of our 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 our Secretary or Chairman of the Board to so convert all shares of Class B common stock, or (iv) immediately following the date of the death of KR Sridhar.

F3 · derivative.exercise_date: The Class B Common Stock is convertible into the issuer's Class A Common Stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of our Class B common stock will convert automatically into shares of our 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 our Secretary or Chairman of the Board to so convert all shares of Class B common stock, or (iv) immediately following the date of the death of KR Sridhar.

F3 · derivative.expiration_date: The Class B Common Stock is convertible into the issuer's Class A Common Stock on a 1-for-1 basis at the holder's option or upon any transfer except for certain permitted transfers. All the outstanding shares of our Class B common stock will convert automatically into shares of our 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 our Secretary or Chairman of the Board to so convert all shares of Class B common stock, or (iv) immediately following the date of the death of KR Sridhar.

F1 · ownership.direct: The securities are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partners of NEA Partners 10 (NEA Partners 10 and its individual general partners together, the "Indirect Reporting Persons"). The individual general partners of NEA Partners 10 are Peter J. Barris, M. James Barrett and Scott D. Sandell. Each Indirect Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 securities in which such Indirect Reporting Person has no pecuniary interest.

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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.