Statement of Changes in Beneficial Ownership (4)
June 03 2020 - 4:57PM
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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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
*
Plagemann Thomas G. |
2. Issuer Name and Ticker or Trading Symbol
Vivint Solar, Inc.
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VSLR
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CCO; EVP, Capital Markets |
(Last)
(First)
(Middle)
1800 WEST ASHTON BLVD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/1/2020 |
(Street)
LEHI, UT 84043
(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 | 6/1/2020 | | A | | 30450 (1) | A | $0.00 | 148538 | D | |
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) | $8.21 | 6/1/2020 | | A | | 45620 | | (2) | 6/1/2030 | Common Stock | 45620 | $0.00 | 45620 | D | |
Explanation of Responses: |
(1) | 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. 100% of the Shares subject to this Award will vest on June 6, 2022, subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through such date. |
(2) | 100% of the Shares subject to this Award will vest on June 6, 2022, subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through such date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Plagemann Thomas G. 1800 WEST ASHTON BLVD LEHI, UT 84043 |
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| CCO; EVP, Capital Markets |
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Signatures
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/s/ Dana C. Russell, attorney-in-fact | | 6/3/2020 |
**Signature of Reporting Person | Date |
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