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) 06/29/2021 | 3. Issuer Name and Ticker or Trading Symbol VINEBROOK HOMES TRUST, INC. [ N/A ] | |||||||||||||
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) |
Common Stock | 6,059.753 | 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 | ||||
Restricted Stock Units | (1) | (1) | Common Stock | 10,502.25 | (4) | D | |
Restricted Stock Units | (2) | (2) | Common Stock | 16,654.75 | (4) | D | |
Restricted Stock Units | (3) | (3) | Common Stock | 19,147 | (4) | D |
Explanation of Responses: |
1. On December 10, 2019, the reporting person was granted 14,003 restricted stock units. The restricted stock units vested one-fourth on December 10, 2020, and will vest one-fourth on December 10, 2021, one-fourth on December 10, 2022, and one-fourth on December 10, 2023. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash. |
2. On May 11, 2020, the reporting person was granted 19,034 restricted stock units. The restricted stock units vested one-eighth on May 11, 2021, and will vest one-eighth on May 11, 2022, one-eighth on May 11, 2023, and one-eighth on May 11, 2024; the remaining half of the restricted stock units will vest upon the initial public offering of VineBrook Homes Trust, Inc. (the "Issuer"). Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash. |
3. On February 15, 2021, the reporting person was granted 19,147 restricted stock units. The restricted stock units will vest one-eighth on February 15, 2022, one-eighth on February 15, 2023, one-eighth on February 15, 2024, and one-eighth on February 15, 2025; the remaining half of the restricted stock units will vest upon the initial public offering of the Issuer. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash. |
4. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer. |
Remarks: |
Chief Financial Officer, Assistant Secretary and Treasurer Exhibit List: Exhibit 24 - Power of Attorney |
/s/ Brian Mitts | 06/29/2021 | |
** 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. |