0001209191-19-060697.txt : 20191216
0001209191-19-060697.hdr.sgml : 20191216
20191216170247
ACCESSION NUMBER: 0001209191-19-060697
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191212
FILED AS OF DATE: 20191216
DATE AS OF CHANGE: 20191216
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: 191287937
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
2019-12-12
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
2019-12-12
4
M
0
76348
1.00
A
329932
D
Common Stock
2019-12-12
4
S
0
208737
7.5277
D
121195
D
Stock Option (Right to Buy)
1.00
2019-12-12
4
M
0
76348
0.00
D
2023-10-14
Common Stock
76348
176470
D
The sales reported by Mr. Plagemann were effected pursuant to a Rule 10b5-1 trading plan.
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 $7.50 to $7.575, 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
2019-12-16