SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
SIEMENS AG

(Last) (First) (Middle)
WERNER-VON-SIEMENS-STRASSE 1

(Street)
80333 MUNICH 2M

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
10/28/2021
3. Issuer Name and Ticker or Trading Symbol
Fluence Energy, Inc. [ FLNC ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
LLC Units of Fluence Energy, LLC (1) (1) Class A Common Stock 58,586,695 (1) I See footnote(2)
1. Name and Address of Reporting Person*
SIEMENS AG

(Last) (First) (Middle)
WERNER-VON-SIEMENS-STRASSE 1

(Street)
80333 MUNICH 2M

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Siemens Industry, Inc.

(Last) (First) (Middle)
C/O SIEMENS AG
WERNER-VON-SIEMENS-STRASSE 1

(Street)
80333 MUNICH 2M

(City) (State) (Zip)
Explanation of Responses:
1. The LLC Units of Fluence Energy, LLC ("OpCo Units") and an equal number of shares of Class B-1 Common Stock of Fluence Energy, Inc., together are exchangeable at the discretion of the holder for, at the Issuer's election, shares of Class A Common Stock on a one-for-one basis or the cash value thereof, subject to certain exceptions, conditions and adjustments, and have no expiration date.
2. The securities are held of record by Siemens Industry, Inc. ("Siemens Industry"). Siemens AG is the indirect parent of Siemens Industry and may be deemed to beneficially own the securities held of record by Siemens Industry.
Remarks:
Siemens AG, By: /s/ Christian Bleiweiss, Name: Christian Bleiweiss, Title: Chief Counsel Corporate, M&A, By: /s/ Hardi Zajewski, Name: Hardi Zajewski, Title: SVP M&A 10/28/2021
Siemens Industry, Inc., By: /s/ Ruth Gratzke, Name: Ruth Gratzke, Title: Chief Executive Officer, By: /s/ Marsha Smith, Name: Marsha Smith, Title: Chief Financial Officer 10/28/2021
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
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