SEC Form 4 · accession 0000899243-16-028620
Vivint Solar, Inc. · VSLR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas G. Plagemann
Officer — Chief Commercial Officer
Period of report
Sep 6, 2016
Accepted (ET)
Sep 7, 2016 · 5:12 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001607716
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 6, 2016 | A | 38,461 | $0.00 | A | 38,461 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $3.25 | Sep 6, 2016 | A | 54,824 | A | — | Sep 6, 2026 | Common Stock | 54,824 | 54,824 | D |
Explanation of responses
- F1Represents restricted stock units ("RSUs") granted pursuant to the 2014 Equity Incentive Plan. One-third of the RSUs become vested on July 16, 2017, July 16, 2018 and July 16, 2019, respectively.
- F2One-third of the shares subject to the option become vested and exercisable on July 16, 2017, July 16, 2018 and July 16, 2019, respectively.