GERARD DALE R (Interim CFO) reported 2 transactions at VIVINT SMART HOME, INC.
Review the transaction codes below to understand the nature of each event.
Filed: 2/28/2020ACC: 0000899243-20-006368
Officer· Interim CFO
Since Jan 2020
-116.00
Net shares
Net seller
$2.3K
Total sold
0
Open market trades
0B · 0S
3
Total transactions
12.20K acquired · 12.32K disposed
Non-Derivative Transactions2
Class A Common Stock
Direct
Shares
+12.20K
Price / share
—
Trade value
—
% of position
15.4%
2/26/2020
79.02K→91.22K
Class A Common Stock
Direct
Shares
−116.00
Price / share
$20.07
Trade value
$2.33K
% of position
0.1%
2/26/2020
91.22K→91.10K
Total
Net shares
+12.09K
Net value
-$2.33K
| Security | Date | Type | Shares | Price / Share | Trade Value | % of Position | Held Before | Held After |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock Direct | 2/26/2020 | C · Conversion | +12.20K | — | — | 15.4% | 79.02K | 91.22K |
| Class A Common Stock Direct | 2/26/2020 | F · Tax Withholding | −116.00 | $20.07 | $2.33K | 0.1% | 91.22K | 91.10K |
| Total | +12.09K | -$2.33K | ||||||
Derivative Transactions1
Earnout Rights
Direct
Converts to
Class A Common Stock
12.20K shares
Shares
−12.20K
Strike price
Held after
24.40K
Exercisable
—
2/26/2020
| Security | Converts To | Date | Type | Shares | Strike Price | Exercisable | Held After |
|---|---|---|---|---|---|---|---|
| Earnout Rights Direct | Class A Common Stock12.20K shares | 2/26/2020 | C · Conversion | −12.20K | — | 24.40K |