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 |
|
1. Name and Address of Reporting Person*
(Street)
| 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)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
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. | ||
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. |