Garner B. Meads III Form 3 Vivint Smart Home / Garner B. Meads III ownership change

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^*

Meads Garner B. III

(Last) (First) (Middle)

C/O VIVINT SMART HOME, INC.

4931 NORTH 300 WEST

(Street)

PROVO UT 84604

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
12/02/2021

3. Issuer Name and Ticker or Trading Symbol
Vivint Smart Home, Inc. [ VVNT ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
See Remarks

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	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)
Class A Common Stock	12,577	D

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
Restricted Stock Units	(1)	(1)	Class A Common Stock	16,646	(1)	D
Restricted Stock Units	(2)	(2)	Class A Common Stock	14,535	(2)	D
Restricted Stock Units	(3)	(3)	Class A Common Stock	38,850	(3)	D
Stock Appreciation Rights	(4)	09/20/2026	Class A Common Stock	10,801	13.47	D
Stock Appreciation Rights	(5)	06/08/2028	Class A Common Stock	6,480	20.41	D
Restricted Stock Units	(6)	(6)	Class A Common Stock	5,976	(6)	D

Explanation of Responses:

1. Represents unvested restricted stock units which will vest in three equal installments on March 1, 2022, 2023 and 2024, and upon vesting, will each be settled by delivery of one share of Class A common stock of the Issuer ("Class A Common Stock") or cash.

2. Represents unvested restricted stock units granted on March 25, 2021, which will vest in four equal annual installments beginning on the first anniversary of the grant date and upon vesting, will each be settled by delivery of one share of Class A Common Stock or cash.

3. Represents unvested restricted stock units granted on August 12, 2021, which will vest in four equal annual installments beginning on the first anniversary of the grant date and upon vesting, will each be settled by delivery of one share of Class A Common Stock or cash.

4. These stock appreciation rights are fully vested.

5. These stock appreciation rights are fully vested.

6. Reflects performance-based restricted stock units previously granted to the Reporting Person, the performance condition of which was deemed satisfied on March 1, 2021. Of the performance-based restricted stock units deemed acquired on March 1, 2021, 5,975 vested immediately and the remaining 5,976 will vest on March 1, 2022. Each vested performance-based restricted stock unit will be settled by delivery of one share of Class A Common Stock or cash.

Remarks:

Chief Legal Officer and Secretary Exhibit 24 - Power of Attorney

	/s/ Garner B. Meads, III	12/06/2021
	** 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.
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