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: 9/21/2020ACC: 0000899243-20-025869
Officer· Chief Accounting Officer
Since Jan 2020
-207.00
Net shares
Net seller
$3.7K
Total sold
0
Open market trades
0B · 0S
5
Total transactions
12.64K acquired · 12.85K disposed
Non-Derivative Transactions3
Class A Common Stock
Direct
Shares
+11.04K
Price / share
—
Trade value
—
% of position
12.3%
9/17/2020
89.92K→100.97K
Class A Common Stock
Indirect
Shares
+1.60K
Price / share
—
Trade value
—
% of position
9.9%
9/17/2020
16.23K→17.83K
Class A Common Stock
Direct
Shares
−207.00
Price / share
$17.82
Trade value
$3.69K
% of position
0.2%
9/17/2020
100.97K→100.76K
Total
Net shares
+12.44K
Net value
-$3.69K
| Security | Date | Type | Shares | Price / Share | Trade Value | % of Position | Held Before | Held After |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock Direct | 9/17/2020 | C · Conversion | +11.04K | — | — | 12.3% | 89.92K | 100.97K |
| Class A Common Stock Indirect | 9/17/2020 | C · Conversion | +1.60K | — | — | 9.9% | 16.23K | 17.83K |
| Class A Common Stock Direct | 9/17/2020 | F · Tax Withholding | −207.00 | $17.82 | $3.69K | 0.2% | 100.97K | 100.76K |
| Total | +12.44K | -$3.69K | ||||||
Derivative Transactions2
Earnout Rights
Direct
Converts to
Class A Common Stock
11.04K shares
Shares
−11.04K
Strike price
Held after
0.00
Exercisable
—
9/17/2020
Earnout Rights
Indirect
Converts to
Class A Common Stock
1.60K shares
Shares
−1.60K
Strike price
Held after
0.00
Exercisable
—
9/17/2020
| Security | Converts To | Date | Type | Shares | Strike Price | Exercisable | Held After |
|---|---|---|---|---|---|---|---|
| Earnout Rights Direct | Class A Common Stock11.04K shares | 9/17/2020 | C · Conversion | −11.04K | — | 0.00 | |
| Earnout Rights Indirect | Class A Common Stock1.60K shares | 9/17/2020 | C · Conversion | −1.60K | — | 0.00 |