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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| 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 control number. | SEC 1474 (9-02) | ||
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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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Restricted Stock Units | (4) | 06/01/2022 | A | 20,618 | (5) | (5) | Class A Common Stock | 20,618 | $ 0 | 20,618 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Pedersen Todd R. C/O VIVINT SMART HOME, INC. 4931 NORTH 300 WEST PROVO, UT 84604 |
X | |||
| /s/ Garner B. Meads, III, as Attorney-in-Fact | 06/03/2022 | |
| **Signature of Reporting Person | Date |
| * | 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). |
| (1) | Reflects a distribution of shares of Class A common stock of the Issuer ("Class A Common Stock") by 313 Acquisition LLC to the Reporting Person in connection with the redemption of interests in 313 Acquisition LLC by the Reporting Person. No additional consideration was paid or received in connection with the distribution. |
| (2) | Reflects a grant of restricted stock units that vested on the date of grant in connection with the Issuer's annual stockholders meeting and that upon vesting, converted into shares of Class A common Stock on a one-for-one basis. |
| (3) | Shares held by a trust for the benefit of the Reporting Person's family. The Reporting Person disclaims beneficial ownership over the shares held by such trust, except to the extent of his pecuniary interest therein. |
| (4) | Each restricted stock unit represents a contingent right to receive one share of Class A Common Stock. The restricted stock units will be settled in either Class A Common Stock or cash. |
| (5) | Reflects a grant of restricted stock units that vest on the date of the Issuer's first annual stockholders meeting following the date of grant. |