SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol SmartRent, Inc. [ SMRT ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 03/10/2022 | ||||||||||||||||||||||||||
4. 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 Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Class A Common Stock | 03/10/2022 | X | 937,018 | A | $0.002 | 5,716,921 | I | By RET Ventures SPV I, L.P.(1) | ||
Class A Common Stock | 25,610,456 | I | By Real Estate Technology Ventures, L.P.(2) | |||||||
Class A Common Stock | 447,221 | I | By Real Estate Technology Ventures Associates, L.P.(3) | |||||||
Class A Common Stock | 5,886,681 | I | By Real Estate Technology Ventures-A, L.P.(4) | |||||||
Class A Common Stock | 389,319 | I | By Real Estate Technology Ventures II, L.P.(5) | |||||||
Class A Common Stock | 9,066 | I | By Real Estate Technology Ventures Associates II, L.P.(6) | |||||||
Class A Common Stock | 32,981(7) | D(8) | ||||||||
Class A Common Stock | 14,269(7) | D(9) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrants | $0.002 | 03/10/2022 | X | 937,018 | (10) | 04/23/2030 | Class A Common Stock | 937,018 | $0.00 | 0 | I | By RET Ventures SPV I, L.P.(1) |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. Shares are held directly by RET Ventures SPV I, L.P. ("RET SPV I"). RETV GP, LLC ("RET GP I") is the general partner of RET SPV I and may be deemed to beneficially own the shares held by RET SPV I. John Helm is the Managing Director of RET GP I, and may be deemed to share voting and investment power over the shares held by RET SPV I. Each of RET GP I and Mr. Helm disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. |
2. Shares are held directly by Real Estate Technology Ventures, L.P. ("RET Fund I"). RET GP I is the general partner of RET Fund I and may be deemed to beneficially own the shares held by RET Fund I. John Helm is the Managing Director of RET GP I, and may be deemed to share voting and investment power over the shares held by RET Fund I. Each of RET GP I and Mr. Helm disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. |
3. Shares are held directly by Real Estate Technology Ventures Associates, L.P. ("RET Associates I"). RET GP I is the general partner of RET Associates I and may be deemed to beneficially own the shares held by RET Associates I. John Helm is the Managing Director of RET GP I, and may be deemed to share voting and investment power over the shares held by RET Associates I. Each of RET GP I and Mr. Helm disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. |
4. Shares are held directly by Real Estate Technology Ventures-A, L.P. ("RET Fund I-A"). RET GP I is the general partner of RET Fund I-A and may be deemed to beneficially own the shares held by RET Fund I-A. John Helm is the Managing Director of RET GP I, and may be deemed to share voting and investment power over the shares held by RET Fund I-A. Each of RET GP I and Mr. Helm disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. |
5. Shares are held directly by Real Estate Technology Ventures II, L.P. ("RET Fund II"). RETV GP II, LLC ("RET GP II") is the general partner of RET Fund II and may be deemed to beneficially own the shares held by RET Fund II. John Helm and Christopher Yip are Managing Directors of RET GP II, and may be deemed to share voting and investment power over the shares held by RET Fund II. Each of RET GP II and Messrs. Helm and Yip disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. |
6. Shares are held directly by Real Estate Technology Ventures Associates II, L.P. ("RET Associates II"). RETV GP II is the general partner of RET Associates II and may be deemed to beneficially own the shares held by RET Associates II. John Helm and Christopher Yip are Managing Directors of RET GP II, and may be deemed to share voting and investment power over the shares held by RET Associates II. Each of RET GP II and Messrs. Helm and Yip disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. |
7. The shares held by the Reporting Person reported herein reflect the receipt of shares pursuant to pro rata distributions in kind, effected by each of RET GP I and RET GP II to its members for no additional consideration, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13. |
8. Shares are held directly by John Helm |
9. Shares are held directly by Christopher Yip |
10. Immediately exercisable. |
Remarks: |
RETV GP, LLC, By /s/ John Helm, Managing Director | 03/14/2022 | |
Real Estate Technology Ventures, L.P., By: RETV GP, LLC, its general partner, By /s/ John Helm, Managing Director | 03/14/2022 | |
Real Estate Technology Ventures Associates, L.P., By: RETV GP, LLC, its general partner, By /s/ John Helm, Managing Director | 03/14/2022 | |
Real Estate Technology Ventures-A, L.P., By: RETV GP, LLC, its general partner, By /s/ John Helm, Managing Director | 03/14/2022 | |
RET Ventures SPV I, L.P., By: RETV GP, LLC, its general partner, By /s/ John Helm, Managing Director | 03/14/2022 | |
RETV GP II, LLC, By /s/ Christopher Yip, Managing Director | 03/14/2022 | |
Real Estate Technology Ventures II, L.P., By: RETV GP II, LLC, its general partner, By /s/ Christopher Yip, Managing Director 02/25/2022 /s/ Christopher Yip | 03/14/2022 | |
Real Estate Technology Ventures Associates II, L.P., By: RETV GP II, LLC, its general partner, By /s/ Christopher Yip, Managing Director | 03/14/2022 | |
/s/ Christopher Yip | 03/14/2022 | |
/s/ John Helm | 03/14/2022 | |
** 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 4 (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. |