Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Sunrun Inc.RUN · Entity 4507 | Director | April 08, 2021 | April 09, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Sunrun Inc.
Report date April 08, 2021 · Filed April 09, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 270,769 |
Reported balance
After 2021-04-08 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2021-04-08 · Sale · Disposed 34,950 · Balance 270,769 F1: Shares sold to cover tax obligation from settlement of vested Restricted Stock Units ("RSUs"). F2: Price represents the weighted average sale price of the shares sold. The sale price ranged from $53.38 to $54.37 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. |
| Common StockSEC Table I · non-derivative | Direct | 220,461 |
Reported balance
After 2021-04-08 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2021-04-08 · Sale · Disposed 50,308 · Balance 220,461 F1: Shares sold to cover tax obligation from settlement of vested Restricted Stock Units ("RSUs"). F3: Price represents the weighted average sale price of the shares sold. The sale price ranged from $54.41 to $55.18 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. F4: Shares held following the reported transactions include 17,600 RSUs, which are subject to forfeiture until they vest. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares sold to cover tax obligation from settlement of vested Restricted Stock Units ("RSUs").
F2: Price represents the weighted average sale price of the shares sold. The sale price ranged from $53.38 to $54.37 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
F3: Price represents the weighted average sale price of the shares sold. The sale price ranged from $54.41 to $55.18 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
F4: Shares held following the reported transactions include 17,600 RSUs, which are subject to forfeiture until they vest.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Vivint Smart Home, Inc.
Report date March 10, 2023 · Filed March 14, 2023
Section 16 reporting ended · disclosed 2023-03-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-03-10 transaction · row 1
1 source rowRow 1 · 2023-03-10 · Disposition to issuer · Disposed 1,074,281 · Balance 0 F1: On March 10, 2023, NRG Energy, Inc. ("NRG") acquired Vivint Smart Home, Inc. (the "Issuer") pursuant to that certain Agreement and Plan of Merger dated as of December 6, 2022 (the "Merger Agreement") by and among the Issuer, NRG and Jetson Merger Sub, Inc., a wholly owned subsidiary of NRG ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of NRG. At the effective time of the Merger (the "Effective Time"), each issued and outstanding share of Class A common stock, par value $0.0001 per share, of the Issuer (the "Common Stock") (other than certain excluded shares) automatically converted into the right to receive $12.00 per share in cash, without interest (the "Merger Consideration"). |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-03-10 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-03-10 · Disposition to issuer · Disposed 470,143 · Balance 0 F2: Each restricted stock unit ("RSU") represented a contingent right to receive one share of Common Stock. The RSUs were to be settled in either Common Stock or cash. F1: On March 10, 2023, NRG Energy, Inc. ("NRG") acquired Vivint Smart Home, Inc. (the "Issuer") pursuant to that certain Agreement and Plan of Merger dated as of December 6, 2022 (the "Merger Agreement") by and among the Issuer, NRG and Jetson Merger Sub, Inc., a wholly owned subsidiary of NRG ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of NRG. At the effective time of the Merger (the "Effective Time"), each issued and outstanding share of Class A common stock, par value $0.0001 per share, of the Issuer (the "Common Stock") (other than certain excluded shares) automatically converted into the right to receive $12.00 per share in cash, without interest (the "Merger Consideration"). F3: Pursuant to the Merger Agreement, unvested RSUs of the Issuer were automatically converted into a number of NRG RSUs calculated as the product of (i) the number of shares underlying such Issuer RSU award and (ii) the ratio of the Merger Consideration divided by the average of the closing sales price of NRGs common stock, par value $0.01 per share for the ten (10) consecutive full trading days ending on the trading day immediately preceding the closing date (the "Exchange Ratio"). Such NRG RSUs will continue to be subject to the same terms and conditions (including vesting and termination treatment) as were applicable to the Issuer RSUs. F4: Reflects an initial grant of 705,216 RSUs. The remaining grant vests in two equal annual installments beginning on June 15, 2023. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-03-10 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-03-10 · Disposition to issuer · Disposed 428,571 · Balance 0 F2: Each restricted stock unit ("RSU") represented a contingent right to receive one share of Common Stock. The RSUs were to be settled in either Common Stock or cash. F1: On March 10, 2023, NRG Energy, Inc. ("NRG") acquired Vivint Smart Home, Inc. (the "Issuer") pursuant to that certain Agreement and Plan of Merger dated as of December 6, 2022 (the "Merger Agreement") by and among the Issuer, NRG and Jetson Merger Sub, Inc., a wholly owned subsidiary of NRG ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of NRG. At the effective time of the Merger (the "Effective Time"), each issued and outstanding share of Class A common stock, par value $0.0001 per share, of the Issuer (the "Common Stock") (other than certain excluded shares) automatically converted into the right to receive $12.00 per share in cash, without interest (the "Merger Consideration"). F3: Pursuant to the Merger Agreement, unvested RSUs of the Issuer were automatically converted into a number of NRG RSUs calculated as the product of (i) the number of shares underlying such Issuer RSU award and (ii) the ratio of the Merger Consideration divided by the average of the closing sales price of NRGs common stock, par value $0.01 per share for the ten (10) consecutive full trading days ending on the trading day immediately preceding the closing date (the "Exchange Ratio"). Such NRG RSUs will continue to be subject to the same terms and conditions (including vesting and termination treatment) as were applicable to the Issuer RSUs. F5: Reflects an initial grant of 642,857 RSUs. The remaining grant vests in two equal annual installments beginning on March 1, 2024. |
Filing footnotes · ownership attribution and instrument terms
F1: On March 10, 2023, NRG Energy, Inc. ("NRG") acquired Vivint Smart Home, Inc. (the "Issuer") pursuant to that certain Agreement and Plan of Merger dated as of December 6, 2022 (the "Merger Agreement") by and among the Issuer, NRG and Jetson Merger Sub, Inc., a wholly owned subsidiary of NRG ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of NRG. At the effective time of the Merger (the "Effective Time"), each issued and outstanding share of Class A common stock, par value $0.0001 per share, of the Issuer (the "Common Stock") (other than certain excluded shares) automatically converted into the right to receive $12.00 per share in cash, without interest (the "Merger Consideration").
F2: Each restricted stock unit ("RSU") represented a contingent right to receive one share of Common Stock. The RSUs were to be settled in either Common Stock or cash.
F3: Pursuant to the Merger Agreement, unvested RSUs of the Issuer were automatically converted into a number of NRG RSUs calculated as the product of (i) the number of shares underlying such Issuer RSU award and (ii) the ratio of the Merger Consideration divided by the average of the closing sales price of NRGs common stock, par value $0.01 per share for the ten (10) consecutive full trading days ending on the trading day immediately preceding the closing date (the "Exchange Ratio"). Such NRG RSUs will continue to be subject to the same terms and conditions (including vesting and termination treatment) as were applicable to the Issuer RSUs.
F4: Reflects an initial grant of 705,216 RSUs. The remaining grant vests in two equal annual installments beginning on June 15, 2023.
F5: Reflects an initial grant of 642,857 RSUs. The remaining grant vests in two equal annual installments beginning on March 1, 2024.
Vivint Solar, Inc.
Report date October 08, 2020 · Filed October 08, 2020
Section 16 reporting ended · disclosed 2020-10-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2020-10-08 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-10-08 · Disposition to issuer · Disposed 430,150 · Balance 620,203 F1: Disposed of pursuant to the Agreement and Plan of Merger, dated as of July 6, 2020 (the "Merger Agreement"), by and among Sunrun Inc. ("RUN"), Viking Merger Sub, Inc. and Vivint Solar, Inc. in exchange for 0.55 shares of RUN common stock per share. Row 2 · 2020-10-08 · Disposition to issuer · Disposed 620,203 · Balance 0 F2: Pursuant to the Merger Agreement, the restricted stock units held by the Reporting Person were disposed of and converted into restricted stock units representing 0.55 shares of RUN common stock per share. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.85 · Expires 2026-12-14 | Direct | 0 |
Reported balance
After 2020-10-08 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-10-08 · Disposition to issuer · Disposed 337,037 · Balance 0 F3: Disposed of pursuant to the Merger Agreement and converted into an option to acquire 0.55 shares of RUN common stock per share. F4: The shares subject to this option shall vest at the rate of 25% of the total number of shares on December 6, 2017 and thereafter 6.25% of the total shares subject to this option shall vest in equal quarterly installments beginning March 6, 2018, until the option is fully vested; in each such case subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through each such date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.15 · Expires 2028-03-15 | Direct | 0 |
Reported balance
After 2020-10-08 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-10-08 · Disposition to issuer · Disposed 485,436 · Balance 0 F3: Disposed of pursuant to the Merger Agreement and converted into an option to acquire 0.55 shares of RUN common stock per share. F5: The shares subject to this option shall vest at the rate of 25% of the total number of shares on January 1, 2019 and thereafter 6.25% of the total shares subject to this option shall vest in equal quarterly installments beginning April 1, 2019, until the option is fully vested; in each such case subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through each such date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.17 · Expires 2029-01-17 | Direct | 0 |
Reported balance
After 2020-10-08 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-10-08 · Disposition to issuer · Disposed 929,368 · Balance 0 F3: Disposed of pursuant to the Merger Agreement and converted into an option to acquire 0.55 shares of RUN common stock per share. F6: 25% of the shares subject to this award will vest on January 1, 2020, and 1/16th of the shares subject to this award will vest on each quarterly vesting date thereafter; in each such case subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through each such date. The term "quarterly vesting date" shall mean the sixth day of March, June, September and December of any fiscal year, as applicable. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.75 · Expires 2029-12-12 | Direct | 0 |
Reported balance
After 2020-10-08 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-10-08 · Disposition to issuer · Disposed 277,161 · Balance 0 F3: Disposed of pursuant to the Merger Agreement and converted into an option to acquire 0.55 shares of RUN common stock per share. F7: 25% of the shares subject to this award will vest on December 6, 2020, and 1/16th of the shares subject to this award will vest on each quarterly vesting date thereafter; in each such case subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through each such date. The term "quarterly vesting date" shall mean the sixth day of March, June, September and December of any fiscal year, as applicable. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to the Agreement and Plan of Merger, dated as of July 6, 2020 (the "Merger Agreement"), by and among Sunrun Inc. ("RUN"), Viking Merger Sub, Inc. and Vivint Solar, Inc. in exchange for 0.55 shares of RUN common stock per share.
F2: Pursuant to the Merger Agreement, the restricted stock units held by the Reporting Person were disposed of and converted into restricted stock units representing 0.55 shares of RUN common stock per share.
F3: Disposed of pursuant to the Merger Agreement and converted into an option to acquire 0.55 shares of RUN common stock per share.
F4: The shares subject to this option shall vest at the rate of 25% of the total number of shares on December 6, 2017 and thereafter 6.25% of the total shares subject to this option shall vest in equal quarterly installments beginning March 6, 2018, until the option is fully vested; in each such case subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through each such date.
F5: The shares subject to this option shall vest at the rate of 25% of the total number of shares on January 1, 2019 and thereafter 6.25% of the total shares subject to this option shall vest in equal quarterly installments beginning April 1, 2019, until the option is fully vested; in each such case subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through each such date.
F6: 25% of the shares subject to this award will vest on January 1, 2020, and 1/16th of the shares subject to this award will vest on each quarterly vesting date thereafter; in each such case subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through each such date. The term "quarterly vesting date" shall mean the sixth day of March, June, September and December of any fiscal year, as applicable.
F7: 25% of the shares subject to this award will vest on December 6, 2020, and 1/16th of the shares subject to this award will vest on each quarterly vesting date thereafter; in each such case subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through each such date. The term "quarterly vesting date" shall mean the sixth day of March, June, September and December of any fiscal year, as applicable.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 05, 2019 Filed Dec 9, 2019 16:47 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | Exercise / conversionCommon Stock | 5,045 | $2.85 | $14,378.25 |
DisclosureSEC source: 0001209191-19-059688 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,103,477 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 26, 2019 Filed Nov 29, 2019 16:37 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | Exercise / conversionStock Option (Right to Buy) · Derivative | 7,600 | $0.00 Strike: $2.85 | $0.00 |
DisclosureSEC source: 0001209191-19-058431 · doc4.xml · derivative · entry 3 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 504,900 Underlying: Common Stock · 7,600 shares Expires 2026-12-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The shares subject to this option shall vest at the rate of 25% of the total number of shares on December 6, 2017 and thereafter 6.25% of the total shares subject to this option shall vest in equal quarterly installments beginning March 6, 2018, until the option is fully vested; in each such case subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through each such date. Read SEC document |
| November 26, 2019 Filed Nov 29, 2019 16:37 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 7,600 | $7.51 | $57,066.88 |
DisclosureSEC source: 0001209191-19-058431 · doc4.xml · nonDerivative · entry 2 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,098,432 F1 · kind: The sales reported by Mr. Bywater were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: 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 $7.55, 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. Read SEC document |
| November 26, 2019 Filed Nov 29, 2019 16:37 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | Exercise / conversionCommon Stock | 7,600 | $2.85 | $21,660.00 |
DisclosureSEC source: 0001209191-19-058431 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,106,032 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 06, 2019 Filed Sep 9, 2019 18:54 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 19,920 | $7.95 | $158,395.87 |
DisclosureSEC source: 0001209191-19-048952 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,098,432 F1 · kind: 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. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.85 to $8.22, inclusive. The reporting person undertakes to provide to Vivint Solar, Inc., any security holder of Vivint Solar, Inc., 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 (2). Read SEC document |
| July 09, 2019 Filed Jul 10, 2019 16:37 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | GiftCommon Stock | 12,755 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-041698 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,118,352 Read SEC document |
| June 06, 2019 Filed Jun 10, 2019 17:56 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 19,690 | $6.77 | $133,228.45 |
DisclosureSEC source: 0001209191-19-035927 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,131,107 F1 · kind: 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. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.71 to $6.86, inclusive. The reporting person undertakes to provide to Vivint Solar, Inc., any security holder of Vivint Solar, Inc., 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 (2). Read SEC document |
| May 08, 2019 Filed May 9, 2019 20:05 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 51,300 | $7.00 | $359,100.00 |
DisclosureSEC source: 0001209191-19-028649 · doc4.xml · nonDerivative · entry 2 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,150,797 F1 · kind: The sales reported by Mr. Bywater were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| May 07, 2019 Filed May 9, 2019 20:05 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 51,300 | $6.50 | $333,450.00 |
DisclosureSEC source: 0001209191-19-028649 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,202,097 F1 · kind: The sales reported by Mr. Bywater were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| April 25, 2019 Filed Apr 26, 2019 16:14 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 51,300 | $6.00 | $307,800.00 |
DisclosureSEC source: 0001209191-19-026180 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,253,397 F1 · kind: The sales reported by Mr. Bywater were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| March 06, 2019 Filed Mar 7, 2019 16:49 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 21,700 | $4.62 | $100,254.00 |
DisclosureSEC source: 0001209191-19-017794 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,304,697 F1 · price: 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.40 to $4.79, inclusive. The reporting person undertakes to provide to Vivint Solar, Inc., any security holder of Vivint Solar, Inc., 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 (1). Read SEC document |
| January 17, 2019 Filed Jan 18, 2019 19:00 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | GrantStock Option (Right to Buy) · Derivative | 929,368 | $0.00 Strike: $4.17 | $0.00 |
DisclosureSEC source: 0001209191-19-004625 · doc4.xml · derivative · entry 2 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 929,368 Underlying: Common Stock · 929,368 shares Expires 2029-01-17 F2 · derivative.exercise_date: 25% of the shares subject to this award will vest on January 1, 2020, and 1/16th of the shares subject to this award will vest on each quarterly vesting date thereafter; in each such case subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through each such date. The term "quarterly vesting date" shall mean the sixth day of March, June, September and December of any fiscal year, as applicable. Read SEC document |
| January 17, 2019 Filed Jan 18, 2019 19:00 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | GrantCommon Stock | 599,520 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-004625 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,326,397 F1 · shares: Represents restricted stock units ("RSUs") granted pursuant to the 2014 Equity Incentive Plan, which can only be settled with shares of Common Stock. 25% of the shares subject to this award will vest on January 1, 2020, and 1/16th of the shares subject to this award will vest on each quarterly vesting date thereafter. The term "quarterly vesting date" shall mean the sixth day of March, June, September and December of any fiscal year, as applicable. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 18:04 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 26,800 | $3.78 | $101,365.64 |
DisclosureSEC source: 0001209191-19-002232 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 726,877 F1 · price: 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.70 to $3.85, inclusive. The reporting person undertakes to provide to Vivint Solar, Inc., any security holder of Vivint Solar, Inc., 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 (1). Read SEC document |
| December 06, 2018 Filed Dec 7, 2018 17:23 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 10,500 | $5.13 | $53,834.55 |
DisclosureSEC source: 0001209191-18-061552 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 753,677 F1 · price: 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.95 to $5.33, inclusive. The reporting person undertakes to provide to Vivint Solar, Inc., any security holder of Vivint Solar, Inc., 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 (1). Read SEC document |
| September 06, 2018 Filed Sep 7, 2018 20:17 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 7,000 | $5.01 | $35,090.30 |
DisclosureSEC source: 0001209191-18-050175 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 764,177 F1 · price: 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.95 to $5.10, inclusive. The reporting person undertakes to provide to Vivint Solar, Inc., any security holder of Vivint Solar, Inc., 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 (1). Read SEC document |
| June 11, 2018 Filed Jun 12, 2018 17:38 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 5,600 | $3.94 | $22,089.76 |
DisclosureSEC source: 0001209191-18-037281 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 771,177 F1 · kind: The sales reported by Mr. Bywater were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: 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 $3.925 to $3.975, 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. Read SEC document |
| June 06, 2018 Filed Jun 8, 2018 17:43 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 7,100 | $3.76 | $26,662.63 |
DisclosureSEC source: 0001209191-18-036750 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 776,777 F1 · price: 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.70 to $3.90, inclusive. The reporting person undertakes to provide to Vivint Solar, Inc., any security holder of Vivint Solar, Inc., 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 (1). Read SEC document |
| March 16, 2018 Filed Mar 19, 2018 19:07 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 17,639 | $3.25 | $57,326.75 |
DisclosureSEC source: 0001209191-18-020730 · doc4.xml · nonDerivative · entry 2 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 783,877 F2 · kind: The sales reported by Mr. Bywater were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 19:07 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | GrantStock Option (Right to Buy) · Derivative | 485,436 | $0.00 Strike: $3.15 | $0.00 |
DisclosureSEC source: 0001209191-18-020730 · doc4.xml · derivative · entry 3 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 485,436 Underlying: Common Stock · 485,436 shares Expires 2028-03-15 F3 · derivative.exercise_date: The shares subject to this option shall vest at the rate of 25% of the total number of shares on January 1, 2019 and thereafter 6.25% of the total shares subject to this option shall vest in equal quarterly installments beginning April 1, 2019, until the option is fully vested; in each such case subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through each such date. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 19:07 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | GrantCommon Stock | 317,460 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-020730 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 801,516 F1 · shares: Represents restricted stock units ("RSUs") granted pursuant to the 2014 Equity Incentive Plan which can only be settled with shares of common stock. 25% of the RSUs become vested on January 1, 2019 and thereafter 6.25% of the RSUs vest in equal quarterly installments beginning April 1, 2019, until the RSUs are fully vested; in each such case subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through each such date. Read SEC document |
| March 14, 2018 Filed Mar 15, 2018 19:49 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 1,500 | $3.25 | $4,875.00 |
DisclosureSEC source: 0001209191-18-020007 · doc4.xml · nonDerivative · entry 2 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 484,056 F1 · kind: The sales reported by Mr. Bywater were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| March 13, 2018 Filed Mar 15, 2018 19:49 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 25,761 | $3.25 | $83,723.25 |
DisclosureSEC source: 0001209191-18-020007 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 485,556 F1 · kind: The sales reported by Mr. Bywater were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| March 12, 2018 Filed Mar 12, 2018 19:22 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 5,100 | $3.25 | $16,575.00 |
DisclosureSEC source: 0001209191-18-018970 · doc4.xml · nonDerivative · entry 3 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 511,317 F1 · kind: The sales reported by Mr. Bywater were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| March 09, 2018 Filed Mar 12, 2018 19:22 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 4,509 | $3.25 | $14,654.25 |
DisclosureSEC source: 0001209191-18-018970 · doc4.xml · nonDerivative · entry 2 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 516,417 F1 · kind: The sales reported by Mr. Bywater were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| March 08, 2018 Filed Mar 12, 2018 19:22 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 10,271 | $3.25 | $33,380.75 |
DisclosureSEC source: 0001209191-18-018970 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 520,926 F1 · kind: The sales reported by Mr. Bywater were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| March 06, 2018 Filed Mar 6, 2018 18:07 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 6,900 | $2.99 | $20,639.97 |
DisclosureSEC source: 0001209191-18-017433 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 531,197 F1 · price: These shares were disposed of 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $3.00, inclusive. The reporting person undertakes to provide to Vivint Solar, Inc., any security holder of Vivint Solar, Inc., 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 (1). F2 · balance_after: Includes 359,649 restricted stock units ("RSUs") granted on December 14, 2016 pursuant to the Issuer's 2014 Equity Incentive Plan which can only be settled with shares of common stock. 25% of the RSUs vest on December 6, 2017 and thereafter 6.25% of the RSUs vest in equal quarterly installments beginning March 6, 2018, until the RSUs are fully vested; in each such case subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through each such date. Read SEC document |
| February 22, 2018 Filed Feb 23, 2018 19:32 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 25,000 | $3.25 | $81,250.00 |
DisclosureSEC source: 0001209191-18-013175 · doc4.xml · nonDerivative · entry 2 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 538,097 F1 · kind: The sales reported by Mr. Bywater were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| February 21, 2018 Filed Feb 23, 2018 19:32 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 177 | $3.25 | $575.25 |
DisclosureSEC source: 0001209191-18-013175 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 563,097 F1 · kind: The sales reported by Mr. Bywater were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| December 08, 2017 Filed Dec 8, 2017 18:45 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | GiftCommon Stock | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-064852 · doc4.xml · nonDerivative · entry 2 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 563,274 Read SEC document |
| December 06, 2017 Filed Dec 8, 2017 18:45 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 44,900 | $3.24 | $145,592.74 |
DisclosureSEC source: 0001209191-17-064852 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 575,774 F1 · kind: The sales reported by Mr. Bywater were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: 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 $3.20 to $3.35, 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. Read SEC document |
| July 17, 2017 Filed Jul 17, 2017 20:55 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 35,000 | $5.25 | $183,627.50 |
DisclosureSEC source: 0001209191-17-045385 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 620,674 F1 · kind: The sales reported by Mr. Bywater were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: 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 $5.00 to $5.50, 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. Read SEC document |
| May 12, 2017 Filed May 12, 2017 17:46 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 200 | $2.80 | $560.00 |
DisclosureSEC source: 0000899243-17-013004 · doc4.xml · nonDerivative · entry 2 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 655,674 F3 · price: These shares were disposed of 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. F2 · balance_after: Includes 359,649 restricted stock units ("RSUs") granted on December 14, 2016 pursuant to the Issuer's 2014 Equity Incentive Plan which can only be settled with shares of common stock. 25% of the RSUs vest on December 6, 2017 and thereafter 6.25% of the RSUs vest in equal quarterly installments beginning March 6, 2018, until the RSUs are fully vested; in each such case subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through each such date. Read SEC document |
| May 11, 2017 Filed May 12, 2017 17:46 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | SaleCommon Stock | 201,000 | $2.84 | $570,840.00 |
DisclosureSEC source: 0000899243-17-013004 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 655,874 F1 · price: These shares were disposed of 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.80 to $2.90, inclusive. The reporting person undertakes to provide to Vivint Solar, Inc., any security holder of Vivint Solar, Inc., 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 (1). F2 · balance_after: Includes 359,649 restricted stock units ("RSUs") granted on December 14, 2016 pursuant to the Issuer's 2014 Equity Incentive Plan which can only be settled with shares of common stock. 25% of the RSUs vest on December 6, 2017 and thereafter 6.25% of the RSUs vest in equal quarterly installments beginning March 6, 2018, until the RSUs are fully vested; in each such case subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through each such date. Read SEC document |
| December 27, 2016 Filed Dec 29, 2016 16:48 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | Tax withholdingCommon Stock | 15,275 | $2.85 | $43,533.75 |
DisclosureSEC source: 0000899243-16-036402 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 856,874 F1 · balance_after: Includes 359,649 restricted stock units ("RSUs") granted on December 14, 2016 pursuant to the Issuer's 2014 Equity Incentive Plan which can only be settled with shares of common stock. 25% of the RSUs vest on December 6, 2017 and thereafter 6.25% of the RSUs vest in equal quarterly installments beginning March 6, 2018, until the RSUs are fully vested; in each such case subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through each such date. Read SEC document |
| December 14, 2016 Filed Dec 16, 2016 20:53 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | GrantStock Option (Right to Buy) · Derivative | 512,500 | $0.00 Strike: $2.85 | $0.00 |
DisclosureSEC source: 0000899243-16-035869 · doc4.xml · derivative · entry 2 Bywater David · CIK 0001673823 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 512,500 Underlying: Common Stock · 512,500 shares Expires 2026-12-14 F2 · derivative.exercise_date: The shares subject to this option shall vest at the rate of 25% of the total number of shares on December 6, 2017 and thereafter 6.25% of the total shares subject to this option shall vest in equal quarterly installments beginning March 6, 2018, until the option is fully vested; in each such case subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through each such date. Read SEC document |
| December 14, 2016 Filed Dec 16, 2016 20:53 UTC | Vivint Solar, Inc. VSLR · Entity 15759 | GrantCommon Stock | 359,649 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-035869 · doc4.xml · nonDerivative · entry 1 Bywater David · CIK 0001673823 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 359,649 F1 · shares: Represents restricted stock units ("RSUs") granted pursuant to the 2014 Equity Incentive Plan which can only be settled with shares of common stock. 25% of the RSUs become vested on December 6, 2017 and thereafter 6.25% of the RSUs vest in equal quarterly installments beginning March 6, 2018, until the RSUs are fully vested; in each such case subject to the Reporting Person's continued service to the Issuer or any subsidiary of the Issuer through each such date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.