SANTIAGO TODD M (EVP, GM of Retail) reported 2 transactions at VIVINT SMART HOME, INC.
Review the transaction codes below to understand the nature of each event.
Filed: 2/28/2020ACC: 0000899243-20-006384
Officer· EVP, GM of Retail
Since Jan 2020
0.00
Net shares
Net seller
$0.00
Total acquired
0
Open market trades
0B · 0S
4
Total transactions
54.97K acquired · 54.97K disposed
Non-Derivative Transactions2
Class A Common Stock
Direct
Shares
+35.96K
Price / share
—
Trade value
—
% of position
12.1%
2/26/2020
296.54K→332.50K
Class A Common Stock
Indirect
Shares
+19.01K
Price / share
—
Trade value
—
% of position
12.1%
2/26/2020
156.76K→175.77K
Total
Net shares
+54.97K
Net value
$0.00
| Security | Date | Type | Shares | Price / Share | Trade Value | % of Position | Held Before | Held After |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock Direct | 2/26/2020 | C · Conversion | +35.96K | — | — | 12.1% | 296.54K | 332.50K |
| Class A Common Stock Indirect | 2/26/2020 | C · Conversion | +19.01K | — | — | 12.1% | 156.76K | 175.77K |
| Total | +54.97K | $0.00 | ||||||
Derivative Transactions2
Earnout Rights
Direct
Converts to
Class A Common Stock
35.96K shares
Shares
−35.96K
Strike price
Held after
71.93K
Exercisable
—
2/26/2020
Earnout Rights
Indirect
Converts to
Class A Common Stock
19.01K shares
Shares
−19.01K
Strike price
Held after
38.02K
Exercisable
—
2/26/2020
| Security | Converts To | Date | Type | Shares | Strike Price | Exercisable | Held After |
|---|---|---|---|---|---|---|---|
| Earnout Rights Direct | Class A Common Stock35.96K shares | 2/26/2020 | C · Conversion | −35.96K | — | 71.93K | |
| Earnout Rights Indirect | Class A Common Stock19.01K shares | 2/26/2020 | C · Conversion | −19.01K | — | 38.02K |