0001209191-19-059677.txt : 20191209 0001209191-19-059677.hdr.sgml : 20191209 20191209164400 ACCESSION NUMBER: 0001209191-19-059677 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191205 FILED AS OF DATE: 20191209 DATE AS OF CHANGE: 20191209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Plagemann Thomas G. CENTRAL INDEX KEY: 0001618828 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36642 FILM NUMBER: 191275690 MAIL ADDRESS: STREET 1: C/O VIVINT SOLAR, INC. STREET 2: 3301 N. THANKSGIVING WAY, SUITE 500 CITY: LEHI STATE: UT ZIP: 84043 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 2019-12-05 0 0001607716 Vivint Solar, Inc. VSLR 0001618828 Plagemann Thomas G. 1800 WEST ASHTON BLVD LEHI UT 84043 0 1 0 0 CCO; EVP, Capital Markets Common Stock 2019-12-05 4 M 0 5193 1.00 A 267399 D Common Stock 2019-12-05 4 S 0 10819 7.50 D 256580 D Common Stock 2019-12-06 4 S 0 2996 7.2464 D 253584 D Stock Option (Right to Buy) 1.00 2019-12-05 4 M 0 5193 0.00 D 2023-10-14 Common Stock 5193 252818 D The sales reported by Mr. Plagemann were effected pursuant to a Rule 10b5-1 trading plan. These shares were disposed of pursuant to the reporting person's Rule 10b5-1 trading plan in non-discretionary transactions to cover the reporting person's tax withholding obligations 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 $7.15 to $7.32, 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. One-third of this option vests annually in five equal installments beginning 10/15/14. The remaining two-thirds of the outstanding options vest as follows: (1) one-half will vest if and upon the date that is the sooner of (a) 313 Acquisition LLC receives a return on its invested capital at a pre-established threshold or (b) the Company's aggregate equity market capitalization is equal to or greater than $1 billion on a date no sooner than 240 days after the commencement of this offering, and (2) one-half of the shares vest if and upon the date that 313 Acquisition LLC receives an additional return on its investment at a second pre-established threshold. /s/ Dana C. Russell, attorney-in-fact 2019-12-09