KELLIHER PATRICK E (Chief Accounting Officer) reported 3 transactions at VIVINT SMART HOME, INC.
Review the transaction codes below to understand the nature of each event.
Filed: 2/28/2020ACC: 0000899243-20-006373
Officer· Chief Accounting Officer
Since Jan 2020
-116.00
Net shares
Net seller
$2.3K
Total sold
0
Open market trades
0B · 0S
5
Total transactions
12.52K acquired · 12.63K disposed
Non-Derivative Transactions3
Class A Common Stock
Direct
Shares
+10.93K
Price / share
—
Trade value
—
% of position
15.9%
2/26/2020
68.56K→79.50K
Class A Common Stock
Indirect
Shares
+1.58K
Price / share
—
Trade value
—
% of position
12.1%
2/26/2020
13.06K→14.65K
Class A Common Stock
Direct
Shares
−116.00
Price / share
$20.07
Trade value
$2.33K
% of position
0.1%
2/26/2020
79.50K→79.38K
Total
Net shares
+12.40K
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 | +10.93K | — | — | 15.9% | 68.56K | 79.50K |
| Class A Common Stock Indirect | 2/26/2020 | C · Conversion | +1.58K | — | — | 12.1% | 13.06K | 14.65K |
| Class A Common Stock Direct | 2/26/2020 | F · Tax Withholding | −116.00 | $20.07 | $2.33K | 0.1% | 79.50K | 79.38K |
| Total | +12.40K | -$2.33K | ||||||
Derivative Transactions2
Earnout Rights
Direct
Converts to
Class A Common Stock
10.93K shares
Shares
−10.93K
Strike price
Held after
21.87K
Exercisable
—
2/26/2020
Earnout Rights
Indirect
Converts to
Class A Common Stock
1.58K shares
Shares
−1.58K
Strike price
Held after
3.17K
Exercisable
—
2/26/2020
| Security | Converts To | Date | Type | Shares | Strike Price | Exercisable | Held After |
|---|---|---|---|---|---|---|---|
| Earnout Rights Direct | Class A Common Stock10.93K shares | 2/26/2020 | C · Conversion | −10.93K | — | 21.87K | |
| Earnout Rights Indirect | Class A Common Stock1.58K shares | 2/26/2020 | C · Conversion | −1.58K | — | 3.17K |