0001209191-20-049881.txt : 20200909 0001209191-20-049881.hdr.sgml : 20200909 20200909190833 ACCESSION NUMBER: 0001209191-20-049881 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200908 FILED AS OF DATE: 20200909 DATE AS OF CHANGE: 20200909 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Russell Dana C CENTRAL INDEX KEY: 0001367405 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36642 FILM NUMBER: 201167464 MAIL ADDRESS: STREET 1: 404 WYMAN STREET STREET 2: SUITE 500 CITY: WALTHAM STATE: MA ZIP: 02451 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Vivint Solar, Inc. CENTRAL INDEX KEY: 0001607716 STANDARD INDUSTRIAL CLASSIFICATION: HEATING EQUIPMENT, EXCEPT ELECTRIC & WARM AIR FURNACES [3433] IRS NUMBER: 455605880 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1800 WEST ASHTON BLVD. CITY: LEHI STATE: UT ZIP: 84043 BUSINESS PHONE: (877) 404-4129 MAIL ADDRESS: STREET 1: 1800 WEST ASHTON BLVD. CITY: LEHI STATE: UT ZIP: 84043 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-09-08 0 0001607716 Vivint Solar, Inc. VSLR 0001367405 Russell Dana C 1800 WEST ASHTON BLVD LEHI UT 84043 0 1 0 0 CFO and EVP Common Stock 2020-09-08 4 S 0 8247 25.9633 D 222543 D Common Stock 2020-09-08 4 S 0 100 26.82 D 222443 D Common Stock 2020-09-08 4 S 0 131 28.0747 D 222312 D Common Stock 2020-09-08 4 A 0 7069 0.00 A 229381 D Stock Option (Right to Buy 28.29 2020-09-08 4 A 0 10570 0.00 A 2030-09-08 Common Stock 10570 10570 D These shares were disposed of in non-discretionary transactions to cover the reporting person's tax withholding obligations pursuant to a Rule 10b5-1 Plan in connection with the settlement of an award of restricted stock units. The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $25.78 to $26.19, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein. The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $28.07 to $28.09, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein. Represents restricted stock units ("RSUs") granted pursuant to the 2014 Equity Incentive Plan (the "Plan") which can only be settled with shares of common stock. 25% of the shares subject to this award will vest on September 6, 2021, and on each of the next 12 RSU quarterly vesting dates, 1/16 of the shares subject to this award will vest, subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through such date. 25% of the Shares subject to this option will vest on September 6, 2021, and on each of the next 12 quarterly vesting dates, 1/16 of the shares subject to this option will vest, subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through such date. s/ Dana C. Russell 2020-09-09