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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 01/11/2021 | 3. Issuer Name and Ticker or Trading Symbol Vertiv Holdings Co [ VRT ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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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) |
CLASS A COMMON STOCK | 29,411(1) | D | |
CLASS A COMMON STOCK | 16(2) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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 | ||||
STOCK OPTIONS | (3) | 02/07/2030 | Class A common stock | 48,048 | 12.05 | D |
Explanation of Responses: |
1. Represents an award of 29,411 restricted stock units ("RSUs") awarded pursuant to the 2020 Stock Incentive Plan of Vertiv Holdings Co and its Affiliates. 7,352 RSUs will vest on April 8, 2021, and 7,353 will vest on each of April 8, 2022, April 8, 2023, and April 8, 2024. |
2. Represents an award of 16 restricted stock units ("RSUs") awarded as dividend equivalents in connection with Vertiv Holdings Co. December 17, 2020 dividend declaration pursuant to the 2020 Stock Incentive Plan of Vertiv Holdings Co and its Affiliates. |
3. The stock options will vest as to 12,012 on each of February 7, 2021, February 7, 2022, February 7 2023 and February 7, 2024. |
Remarks: |
Exhibit 24.1 - Power of Attorney |
/s/ Erin Dowd | 01/19/2021 | |
** 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). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |