Statement of Changes in Beneficial Ownership (4)
November 12 2021 - 6:49PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Trundle Stephen |
2. Issuer Name and Ticker or Trading Symbol
Alarm.com Holdings, Inc.
[
ALRM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President and CEO |
(Last)
(First)
(Middle)
C/O ALARM.COM HOLDINGS, INC., 8281 GREENSBORO DRIVE SUITE 100 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/9/2021 |
(Street)
TYSONS, VA 22102
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 11/9/2021 | | M(1) | | 1000 | A | $4.00 | 266616 | D | |
Common Stock | 11/9/2021 | | S(1) | | 1000 | D | $90.19 (2) | 265616 | D | |
Common Stock | 11/11/2021 | | M(1) | | 7222 | A | $4.00 | 272838 | D | |
Common Stock | 11/11/2021 | | S(1) | | 7222 | D | $85.34 (3) | 265616 | D | |
Common Stock | 11/12/2021 | | M(1) | | 6778 | A | $4.00 | 272394 | D | |
Common Stock | 11/12/2021 | | S(1) | | 14653 | D | $85.59 (4) | 257741 | D | |
Common Stock | | | | | | | | 259687 | I | By Gift Trust (5) |
Common Stock | | | | | | | | 1641373 | I | By LLC (6) |
Common Stock | | | | | | | | 9862 | I | By Footings Advancement Trust (7) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $4.00 | 11/9/2021 | | M (1) | | | 1000 | (8) | 12/30/2023 | Common Stock | 1000 | $0.00 | 39000 | D | |
Stock Option (Right to Buy) | $4.00 | 11/11/2021 | | M (1) | | | 7222 | (8) | 12/30/2023 | Common Stock | 7222 | $0.00 | 31778 | D | |
Stock Option (Right to Buy) | $4.00 | 11/12/2021 | | M (1) | | | 6778 | (8) | 12/30/2023 | Common Stock | 6778 | $0.00 | 25000 | D | |
Explanation of Responses: |
(1) | These exercises and the corresponding sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 19, 2019. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $89.645 to $90.30, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.16 to $85.74, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.16 to $85.845, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. |
(5) | These shares are owned by the Stephen Trundle 2015 Gift Trust (the "Trust"). Certain members of the Reporting Person's immediate family are beneficiaries of the Trust. The Reporting Person disclaims beneficial ownership of the shares owned by the Trust except to the extent, if any, of his pecuniary interest therein. |
(6) | These shares are owned by Backbone Partners, LLC ("Backbone"). The Reporting Person has the sole power to vote and dispose of the shares held by Backbone. The Reporting Person disclaims beneficial ownership of the shares owned by Backbone except to the extent, if any, of his pecuniary interest therein. |
(7) | These shares are owned by the Footings Advancement Trust (the "Advancement Trust"). The Reporting Person has the sole power to vote and dispose of the shares held by the Advancement Trust and certain members of the Reporting Person's immediate family are beneficiaries. The Reporting Person disclaims beneficial ownership of the shares owned by the Advancement Trust except to the extent, if any, of his pecuniary interest therein. |
(8) | This option is fully vested and immediately exercisable. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Trundle Stephen C/O ALARM.COM HOLDINGS, INC. 8281 GREENSBORO DRIVE SUITE 100 TYSONS, VA 22102 | X |
| President and CEO |
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Signatures
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/s/ Daniel Ramos, Attorney-in-Fact | | 11/12/2021 |
**Signature of Reporting Person | Date |
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