person · Reporting owner

Galant Paul

Disclosed activity across 7 companies

Tapewire entity: 38037
SEC CIK: 0001587958

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
CONDUENT IncCNDT · Entity 1191	Director	January 15, 2018	January 16, 2018
Claritev CorpMPLN · Entity 5238	President, New Markets	June 23, 2021	June 25, 2021
GPGI, Inc.GPGI · Entity 4098	Director	June 11, 2026	June 15, 2026
Resolute Holdings Management, Inc.RHLD · Entity 4929	Director	June 11, 2026	June 15, 2026
WESTERN ALLIANCE BANCORPORATIONWAL · Entity 3616	Director	February 06, 2024	February 08, 2024

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.

CONDUENT Inc

Report date January 15, 2018 · Filed January 16, 2018

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Deferred Stock Units (DSU)SEC Table I · non-derivative	Direct	20,984	Reported balance After 2018-01-15 transaction · row 1 1 source row Row 1 · 2018-01-15 · Grant · Acquired 11,297 · Balance 20,984 F1: Each DSU represent the right to receive one share of common stock on the earlier of one year following date of grant or termination of service as a director.

Filing footnotes · ownership attribution and instrument terms

F1: Each DSU represent the right to receive one share of common stock on the earlier of one year following date of grant or termination of service as a director.

Claritev Corp

Report date June 23, 2021 · Filed June 25, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A common stockSEC Table I · non-derivative	Direct	162,239	Reported balance After 2021-06-23 transaction · row 1 1 source row Row 1 · 2021-06-23 · Grant · Acquired 133,689 · Balance 162,239 F1: Represents a grant of restricted stock.

Filing footnotes · ownership attribution and instrument terms

F1: Represents a grant of restricted stock.

GPGI, Inc.

Report date June 11, 2026 · Filed June 15, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.16 · Expires 2036-06-11	Direct	30,738	Reported balance After 2026-06-11 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2026-06-11 · Grant · Acquired 30,738 · Balance 30,738 F1: The Stock Options will vest in equal annual installments of 25% each, on June 11, 2027 and on the first, second, and third anniversaries thereof.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.16 · Expires 2036-06-11	Direct	10,246	Reported balance After 2026-06-11 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2026-06-11 · Grant · Acquired 10,246 · Balance 10,246 F1: The Stock Options will vest in equal annual installments of 25% each, on June 11, 2027 and on the first, second, and third anniversaries thereof. F2: The Stock Options were issued pursuant to the Amended and Restated GPGI, Inc. Non-Employee Director Compensation Policy in lieu of the annual cash retainer of $50,000 at the Director's election.

Filing footnotes · ownership attribution and instrument terms

F1: The Stock Options will vest in equal annual installments of 25% each, on June 11, 2027 and on the first, second, and third anniversaries thereof.

F2: The Stock Options were issued pursuant to the Amended and Restated GPGI, Inc. Non-Employee Director Compensation Policy in lieu of the annual cash retainer of $50,000 at the Director's election.

Resolute Holdings Management, Inc.

Report date June 11, 2026 · Filed June 15, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $129.19 · Expires 2036-06-11	Direct	1,452	Reported balance After 2026-06-11 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2026-06-11 · Grant · Acquired 1,452 · Balance 1,452 F1: The Stock Options will vest in equal annual installments of 25% each, on June 11, 2027 and on the first, second, and third anniversaries thereof.

Filing footnotes · ownership attribution and instrument terms

F1: The Stock Options will vest in equal annual installments of 25% each, on June 11, 2027 and on the first, second, and third anniversaries thereof.

WESTERN ALLIANCE BANCORPORATION

Report date February 06, 2024 · Filed February 08, 2024

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	7,052	Reported balance After 2024-02-06 transaction · row 1 1 source row Row 1 · 2024-02-06 · Grant · Acquired 4,056 · Balance 7,052

Past disclosures · reporting ended (2)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

VERIFONE SYSTEMS, INC.

Report date August 20, 2018 · Filed August 22, 2018

Section 16 reporting ended · disclosed 2018-08-22. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common Stock, par value $0.01 per shareSEC Table I · non-derivative	Direct	Reported balance After 2018-08-20 transaction · row 1 1 source row Row 1 · 2018-08-20 · Disposition to issuer · Disposed 236,267 · Balance 0 F1: At the effective time of the merger contemplated by the Agreement and Plan of Merger, dated as of April 9, 2018, by and among VeriFone Systems, Inc. (the "Company"), Vertex Holdco LLC, and Vertex Merger Sub LLC (the "Effective Time"), each issued and outstanding share of common stock of the Company (each, a "Share") held by Mr. Galant was converted into the right to receive $23.04 in cash, without interest.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $23.00 · Expires 2020-09-30	Direct	Reported balance After 2018-08-20 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2018-08-20 · Disposition to issuer · Disposed 500,000 · Balance 0 F2: At the Effective Time, (a) each outstanding vested option (or vested portion thereof) to purchase Shares (each, a "Vested Company Option") was cancelled and converted into the right to receive (without interest), no later than three business days after the Effective Time, an amount in cash equal to the product obtained by multiplying (i) the total number of Shares subject to such Vested Company Option immediately prior to the Effective Time by (ii) the excess, if any, of $23.04 over the exercise price per Share of such Vested Company Option, less withholding taxes; and (b) each outstanding unvested option (or unvested portion thereof) to purchase Shares (each, an "Unvested Company Option") was cancelled and converted into the right to receive an amount in cash, without interest, F3: (Continued from footnote 2) equal to the product obtained by multiplying (i) the total number of Shares subject to such Unvested Company Option immediately prior to the Effective Time by (ii) the excess, if any, of (A) $23.04 over (B) the exercise price per Share of such Unvested Company Option less withholding taxes, which remains subject to the same vesting schedule that applied to such Unvested Company Option immediately prior to the Effective Time. F8: 25% of these Vested Company Options vested on the first anniversary of October 1, 2014. Thereafter, 6.25% of these Vested Company Options vested at the end of each subsequent three month period until these Vested Company Options had fully vested.
Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	Reported balance After 2018-08-20 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2018-08-20 · Disposition to issuer · Disposed 141,219 · Balance 0 F4: Represents restricted stock units subject only to service-based vesting conditions (a "Company RSU") under the Company's stock plans. F5: At the Effective Time, each outstanding Company RSU under the Company's stock plans was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company RSU immediately prior to the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time.
Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	Reported balance After 2018-08-20 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2018-08-20 · Disposition to issuer · Disposed 90,578 · Balance 0 F4: Represents restricted stock units subject only to service-based vesting conditions (a "Company RSU") under the Company's stock plans. F5: At the Effective Time, each outstanding Company RSU under the Company's stock plans was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company RSU immediately prior to the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time.
Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	Reported balance After 2018-08-20 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2018-08-20 · Disposition to issuer · Disposed 26,625 · Balance 0 F4: Represents restricted stock units subject only to service-based vesting conditions (a "Company RSU") under the Company's stock plans. F5: At the Effective Time, each outstanding Company RSU under the Company's stock plans was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company RSU immediately prior to the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time.
Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	Reported balance After 2018-08-20 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2018-08-20 · Disposition to issuer · Disposed 7,225 · Balance 0 F4: Represents restricted stock units subject only to service-based vesting conditions (a "Company RSU") under the Company's stock plans. F5: At the Effective Time, each outstanding Company RSU under the Company's stock plans was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company RSU immediately prior to the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time.
Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	Reported balance After 2018-08-20 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2018-08-20 · Disposition to issuer · Disposed 147,406 · Balance 0 F6: Represents restricted stock units subject to performance-based vesting conditions (a "Company P-RSU") under the Company's stock plans. F7: At the Effective Time, each outstanding Company P-RSU was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company P-RSU immediately prior to the Effective Time based on the actual performance through the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time.
Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	Reported balance After 2018-08-20 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2018-08-20 · Disposition to issuer · Disposed 126,711 · Balance 0 F6: Represents restricted stock units subject to performance-based vesting conditions (a "Company P-RSU") under the Company's stock plans. F7: At the Effective Time, each outstanding Company P-RSU was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company P-RSU immediately prior to the Effective Time based on the actual performance through the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time.
Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	Reported balance After 2018-08-20 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2018-08-20 · Disposition to issuer · Disposed 108,187 · Balance 0 F6: Represents restricted stock units subject to performance-based vesting conditions (a "Company P-RSU") under the Company's stock plans. F7: At the Effective Time, each outstanding Company P-RSU was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company P-RSU immediately prior to the Effective Time based on the actual performance through the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time.

Filing footnotes · ownership attribution and instrument terms

F1: At the effective time of the merger contemplated by the Agreement and Plan of Merger, dated as of April 9, 2018, by and among VeriFone Systems, Inc. (the "Company"), Vertex Holdco LLC, and Vertex Merger Sub LLC (the "Effective Time"), each issued and outstanding share of common stock of the Company (each, a "Share") held by Mr. Galant was converted into the right to receive $23.04 in cash, without interest.

F2: At the Effective Time, (a) each outstanding vested option (or vested portion thereof) to purchase Shares (each, a "Vested Company Option") was cancelled and converted into the right to receive (without interest), no later than three business days after the Effective Time, an amount in cash equal to the product obtained by multiplying (i) the total number of Shares subject to such Vested Company Option immediately prior to the Effective Time by (ii) the excess, if any, of $23.04 over the exercise price per Share of such Vested Company Option, less withholding taxes; and (b) each outstanding unvested option (or unvested portion thereof) to purchase Shares (each, an "Unvested Company Option") was cancelled and converted into the right to receive an amount in cash, without interest,

F3: (Continued from footnote 2) equal to the product obtained by multiplying (i) the total number of Shares subject to such Unvested Company Option immediately prior to the Effective Time by (ii) the excess, if any, of (A) $23.04 over (B) the exercise price per Share of such Unvested Company Option less withholding taxes, which remains subject to the same vesting schedule that applied to such Unvested Company Option immediately prior to the Effective Time.

F4: Represents restricted stock units subject only to service-based vesting conditions (a "Company RSU") under the Company's stock plans.

F5: At the Effective Time, each outstanding Company RSU under the Company's stock plans was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company RSU immediately prior to the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time.

F6: Represents restricted stock units subject to performance-based vesting conditions (a "Company P-RSU") under the Company's stock plans.

F7: At the Effective Time, each outstanding Company P-RSU was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company P-RSU immediately prior to the Effective Time based on the actual performance through the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time.

F8: 25% of these Vested Company Options vested on the first anniversary of October 1, 2014. Thereafter, 6.25% of these Vested Company Options vested at the end of each subsequent three month period until these Vested Company Options had fully vested.

Vivint Smart Home, Inc.

Report date March 10, 2023 · Filed March 15, 2023

Section 16 reporting ended · disclosed 2023-03-15. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Class A Common StockSEC Table I · non-derivative	Direct	Reported balance After 2023-03-10 transaction · row 1 1 source row Row 1 · 2023-03-10 · Disposition to issuer · Disposed 23,618 · 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	Reported balance After 2023-03-10 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2023-03-10 · Disposition to issuer · Disposed 20,618 · 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. F3: These RSUs, granted on June 1, 2022, provided for vesting on the date of the Issuer's first annual stockholders meeting following the date of grant. Pursuant to the Merger Agreement, immediately prior to the Effective Time, each RSU held by a non-employee director of the Issuer automatically vested and converted into the right to receive the Merger Consideration.
Restricted Stock UnitsSEC Table II · derivative / convertible security	Direct	Reported balance After 2023-03-10 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2023-03-10 · Disposition to issuer · Disposed 15,763 · 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. F4: These fully vested RSUs provided for settlement as soon as reasonably practicable following the earliest to occur of: (a) the termination of the Reporting Person's service as a director, (b) a change of control of the Issuer, and (c) June 8, 2023. Pursuant to the Merger Agreement, immediately prior to the Effective Time, each vested but not settled RSU held by a non-employee director of the Issuer automatically converted into the right to receive the Merger Consideration.

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: These RSUs, granted on June 1, 2022, provided for vesting on the date of the Issuer's first annual stockholders meeting following the date of grant. Pursuant to the Merger Agreement, immediately prior to the Effective Time, each RSU held by a non-employee director of the Issuer automatically vested and converted into the right to receive the Merger Consideration.

F4: These fully vested RSUs provided for settlement as soon as reasonably practicable following the earliest to occur of: (a) the termination of the Reporting Person's service as a director, (b) a change of control of the Issuer, and (c) June 8, 2023. Pursuant to the Merger Agreement, immediately prior to the Effective Time, each vested but not settled RSU held by a non-employee director of the Issuer automatically converted into the right to receive the Merger Consideration.

Transaction history

JSON API

Purchases/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
June 11, 2026 Filed Jun 15, 2026 23:07 UTC	Resolute Holdings Management, Inc. RHLD · Entity 4929	GrantStock Option (Right to Buy) · Derivative	1,452	$0.00 Strike: $129.19	$0.00	Disclosure SEC source: 0000950142-26-001794 · es260793645_4-galant.xml · derivative · entry 1 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,452 Underlying: Common Stock · 1,452 shares Expires 2036-06-11 F1 · derivative.exercise_date: The Stock Options will vest in equal annual installments of 25% each, on June 11, 2027 and on the first, second, and third anniversaries thereof. Read SEC document
June 11, 2026 Filed Jun 15, 2026 23:00 UTC	GPGI, Inc. GPGI · Entity 4098	GrantStock Option (Right to Buy) · Derivative	10,246	$0.00 Strike: $12.16	$0.00	Disclosure SEC source: 0000950142-26-001784 · es260793657_4-galant.xml · derivative · entry 2 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,246 Underlying: Class A Common Stock · 10,246 shares Expires 2036-06-11 F1 · derivative.exercise_date: The Stock Options will vest in equal annual installments of 25% each, on June 11, 2027 and on the first, second, and third anniversaries thereof. F2 · ownership.direct: The Stock Options were issued pursuant to the Amended and Restated GPGI, Inc. Non-Employee Director Compensation Policy in lieu of the annual cash retainer of $50,000 at the Director's election. Read SEC document
June 11, 2026 Filed Jun 15, 2026 23:00 UTC	GPGI, Inc. GPGI · Entity 4098	GrantStock Option (Right to Buy) · Derivative	30,738	$0.00 Strike: $12.16	$0.00	Disclosure SEC source: 0000950142-26-001784 · es260793657_4-galant.xml · derivative · entry 1 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,738 Underlying: Class A Common Stock · 30,738 shares Expires 2036-06-11 F1 · derivative.exercise_date: The Stock Options will vest in equal annual installments of 25% each, on June 11, 2027 and on the first, second, and third anniversaries thereof. Read SEC document
January 12, 2026 Filed Jan 15, 2026 02:07 UTC	GPGI, Inc. CMPO · Entity 4098	GrantClass A Common Stock	54,055	$18.50	$1,000,017.50	Disclosure SEC source: 0000950142-26-000171 · es260725868_4-galant.xml · nonDerivative · entry 1 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 146,343 F1 · price: On January 12, 2026, CompoSecure, Inc. (the "Issuer") completed its previously announced combination with Husky Technologies Limited, including the acquisition by certain investors of shares of the Issuer's Class A common stock, par value $0.0001 per share, for $18.50 per share, pursuant to those certain Purchase Agreements dated November 2, 2025. Read SEC document
May 28, 2025 Filed May 30, 2025 23:04 UTC	Resolute Holdings Management, Inc. RHLD · Entity 4929	GrantStock Option (Right to Buy) · Derivative	5,603	$0.00 Strike: $33.92	$0.00	Disclosure SEC source: 0000950142-25-001536 · es250635066_4-galant.xml · derivative · entry 1 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,603 Underlying: Common Stock · 5,603 shares Expires 2035-05-28 F1 · derivative.exercise_date: The Stock Options will vest in equal annual installments of 25% each, on May 28, 2026 and on the first, second and third anniversaries thereof. Read SEC document
May 28, 2025 Filed May 30, 2025 15:42 UTC	GPGI, Inc. CMPO · Entity 4098	GrantStock Option (Right to Buy) · Derivative	21,074	$0.00 Strike: $13.68	$0.00	Disclosure SEC source: 0001823144-25-000030 · wk-form4_1748619738.xml · derivative · entry 1 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,074 Underlying: Class A Common Stock · 21,074 shares Expires 2035-05-28 F1 · derivative.exercise_date: The Stock Options will vest in equal annual installments of 25% each on May 28, 2026, and on the first, second, and third anniversaries thereof. Read SEC document
February 28, 2025 Filed Mar 5, 2025 02:17 UTC	Resolute Holdings Management, Inc. RHLD · Entity 4929	GrantStock Option (Right to Buy) · Derivative	2,064	$0.00 Strike: $46.82	$0.00	Disclosure SEC source: 0000950142-25-000622 · es250598057_4-galant.xml · derivative · entry 2 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,064 Underlying: Common Stock · 2,064 shares Expires 2035-02-28 F2 · derivative.exercise_date: The Stock Options will vest in equal annual installments of 25% each, on February 28, 2026 and on the first, second and third anniversaries thereof. Read SEC document
February 28, 2025 Filed Mar 5, 2025 02:17 UTC	Resolute Holdings Management, Inc. RHLD · Entity 4929	GrantCommon Stock, par value $0.0001 per share	7,690	Not disclosed	Not disclosed	Disclosure SEC source: 0000950142-25-000622 · es250598057_4-galant.xml · nonDerivative · entry 1 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,690 F1 · price: This acquisition is the result of the consummation on February 28, 2025 of the distribution of 100% of the shares of common stock of Resolute Holdings Management, Inc. by CompoSecure, Inc. ("CompoSecure") to holders of Class A common stock of CompoSecure on a pro rata basis. This transaction is voluntarily reported notwithstanding the exemption provided by Rule 16a-9. Read SEC document
October 01, 2024 Filed Oct 4, 2024 01:32 UTC	GPGI, Inc. CMPO · Entity 4098	GrantStock Option (Right to Buy) · Derivative	4,649	$0.00 Strike: $13.82	$0.00	Disclosure SEC source: 0001104659-24-106050 · tm2425514-5_4seq1.xml · derivative · entry 1 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,649 Underlying: Class A Common Stock · 4,649 shares Expires 2034-10-01 F1 · derivative.exercise_date: The Stock Options will vest in equal annual installments of 25% each, on October 1, 2025 and on the first, second and third anniversaries thereof. Read SEC document
June 12, 2024 Filed Jun 13, 2024 22:00 UTC	GPGI, Inc. CMPO · Entity 4098	GrantClass A Common Stock	2,908	$0.00	$0.00	Disclosure SEC source: 0001104659-24-071369 · tm2417131-1_4seq1.xml · nonDerivative · entry 1 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 92,288 F1 · shares: Represents the number of shares that were credited to the Reporting Person's deferred restricted stock unit grants outstanding as of May 20, 2024 (the "Record Date") under the Company's RSU Conversion and Deferral Program for Directors (the "Deferral Program"), as a result of the Company's payment of a $0.30 per share dividend to the holders (as of the Record Date) of the Company's Class A Common Stock on June 11, 2024. In accordance with the Deferral Program, the vesting of these shares is subject to a deferred payment date, which will be on or about (i) the Reporting Person's termination of service, (ii) the occurrence of a Corporate Transaction (as defined in the Deferral Program) or (iii) the Reporting Person's death or Disability (as defined in the Deferral Program). Read SEC document
May 30, 2024 Filed Jun 10, 2024 20:06 UTC	GPGI, Inc. CMPO · Entity 4098	GrantClass A Common Stock	22,491	$0.00	$0.00	Disclosure SEC source: 0001104659-24-070013 · tm2416834-2_4seq1.xml · nonDerivative · entry 1 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 89,380 F1 · shares: These shares represent restricted stock units ("RSUs"), which will vest in full upon the earlier of (a) the first anniversary of the date of grant, or (b) the date of the Company's 2025 Annual Meeting of Stockholders, subject in each case to the reporting person's continued service as of the applicable vesting date, and may be settled into Class A Common Stock upon vesting. F2 · shares: Pursuant to the Company's RSU Conversion and Deferral Program for Directors (the "Deferral Program"), upon vesting the shares will be subject to a deferred payment date. The deferred payment date will be on or about (i) the reporting person's termination of service, (ii) the occurrence of a Corporate Transaction (as defined in the Deferral Program) or (iii) the reporting person's death or Disability (as defined in the Deferral Program). Read SEC document
February 06, 2024 Filed Feb 8, 2024 23:41 UTC	WESTERN ALLIANCE BANCORPORATION WAL · Entity 3616	GrantCommon Stock	4,056	$0.00	$0.00	Disclosure SEC source: 0001212545-24-000013 · wk-form4_1707435663.xml · nonDerivative · entry 1 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,052 Read SEC document
May 18, 2023 Filed May 19, 2023 21:56 UTC	GPGI, Inc. CMPO · Entity 4098	GrantClass A Common Stock	20,829	$0.00	$0.00	Disclosure SEC source: 0001104659-23-062786 · tm2316313-4_4seq1.xml · nonDerivative · entry 1 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 66,889 F1 · shares: These shares represent restricted stock units ("RSUs"), which will vest in full upon the earlier of (a) the first anniversary of the date of grant, or (b) the date of the Company's 2024 Annual Meeting of Stockholders, subject in each case to the reporting person's continued service as of the applicable vesting date, and may be settled into Class A Common Stock upon vesting. Read SEC document
March 10, 2023 Filed Mar 15, 2023 01:31 UTC	Vivint Smart Home, Inc. VVNT · Entity 15378	Disposition to issuerRestricted Stock Units · Derivative	15,763	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-23-008503 · doc4.xml · derivative · entry 3 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 15,763 shares Expires not disclosed F2 · derivative.exercise_price: 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. F4 · kind: These fully vested RSUs provided for settlement as soon as reasonably practicable following the earliest to occur of: (a) the termination of the Reporting Person's service as a director, (b) a change of control of the Issuer, and (c) June 8, 2023. Pursuant to the Merger Agreement, immediately prior to the Effective Time, each vested but not settled RSU held by a non-employee director of the Issuer automatically converted into the right to receive the Merger Consideration. F4 · price: These fully vested RSUs provided for settlement as soon as reasonably practicable following the earliest to occur of: (a) the termination of the Reporting Person's service as a director, (b) a change of control of the Issuer, and (c) June 8, 2023. Pursuant to the Merger Agreement, immediately prior to the Effective Time, each vested but not settled RSU held by a non-employee director of the Issuer automatically converted into the right to receive the Merger Consideration. F4 · derivative.exercise_date: These fully vested RSUs provided for settlement as soon as reasonably practicable following the earliest to occur of: (a) the termination of the Reporting Person's service as a director, (b) a change of control of the Issuer, and (c) June 8, 2023. Pursuant to the Merger Agreement, immediately prior to the Effective Time, each vested but not settled RSU held by a non-employee director of the Issuer automatically converted into the right to receive the Merger Consideration. F4 · derivative.expiration_date: These fully vested RSUs provided for settlement as soon as reasonably practicable following the earliest to occur of: (a) the termination of the Reporting Person's service as a director, (b) a change of control of the Issuer, and (c) June 8, 2023. Pursuant to the Merger Agreement, immediately prior to the Effective Time, each vested but not settled RSU held by a non-employee director of the Issuer automatically converted into the right to receive the Merger Consideration. Read SEC document
March 10, 2023 Filed Mar 15, 2023 01:31 UTC	Vivint Smart Home, Inc. VVNT · Entity 15378	Disposition to issuerRestricted Stock Units · Derivative	20,618	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-23-008503 · doc4.xml · derivative · entry 2 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 20,618 shares Expires not disclosed F2 · derivative.exercise_price: 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 · kind: These RSUs, granted on June 1, 2022, provided for vesting on the date of the Issuer's first annual stockholders meeting following the date of grant. Pursuant to the Merger Agreement, immediately prior to the Effective Time, each RSU held by a non-employee director of the Issuer automatically vested and converted into the right to receive the Merger Consideration. F3 · price: These RSUs, granted on June 1, 2022, provided for vesting on the date of the Issuer's first annual stockholders meeting following the date of grant. Pursuant to the Merger Agreement, immediately prior to the Effective Time, each RSU held by a non-employee director of the Issuer automatically vested and converted into the right to receive the Merger Consideration. F3 · derivative.exercise_date: These RSUs, granted on June 1, 2022, provided for vesting on the date of the Issuer's first annual stockholders meeting following the date of grant. Pursuant to the Merger Agreement, immediately prior to the Effective Time, each RSU held by a non-employee director of the Issuer automatically vested and converted into the right to receive the Merger Consideration. F3 · derivative.expiration_date: These RSUs, granted on June 1, 2022, provided for vesting on the date of the Issuer's first annual stockholders meeting following the date of grant. Pursuant to the Merger Agreement, immediately prior to the Effective Time, each RSU held by a non-employee director of the Issuer automatically vested and converted into the right to receive the Merger Consideration. Read SEC document
March 10, 2023 Filed Mar 15, 2023 01:31 UTC	Vivint Smart Home, Inc. VVNT · Entity 15378	Disposition to issuerClass A Common Stock	23,618	$12.00	$283,416.00	Disclosure SEC source: 0000899243-23-008503 · doc4.xml · nonDerivative · entry 1 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: 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"). F1 · price: 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"). Read SEC document
February 07, 2023 Filed Feb 9, 2023 21:48 UTC	WESTERN ALLIANCE BANCORPORATION WAL · Entity 3616	GrantCommon Stock	2,996	$0.00	$0.00	Disclosure SEC source: 0001212545-23-000044 · wf-form4_167597926202085.xml · nonDerivative · entry 1 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,996 Read SEC document
September 21, 2022 Filed Sep 21, 2022 20:15 UTC	GPGI, Inc. CMPO · Entity 4098	GrantClass A Common Stock	19,873	$0.00	$0.00	Disclosure SEC source: 0001104659-22-101938 · tm2226330-1_4seq1.xml · nonDerivative · entry 2 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,060 F2 · shares: These shares represent RSUs, which will vest in full on the earlier of (a) the 2023 annual meeting of CompoSecure, Inc. or (b) September 21, 2023, the first anniversary of the date of grant. Read SEC document
September 21, 2022 Filed Sep 21, 2022 20:15 UTC	GPGI, Inc. CMPO · Entity 4098	GrantClass A Common Stock	26,187	$0.00	$0.00	Disclosure SEC source: 0001104659-22-101938 · tm2226330-1_4seq1.xml · nonDerivative · entry 1 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,187 F1 · shares: These shares represent restricted stock units ("RSUs"), which will vest in full on September 21, 2023, the first anniversary of the date of grant. Read SEC document
June 01, 2022 Filed Jun 3, 2022 22:20 UTC	Vivint Smart Home, Inc. VVNT · Entity 15378	GrantRestricted Stock Units · Derivative	20,618	$0.00	$0.00	Disclosure SEC source: 0000899243-22-021073 · doc4.xml · derivative · entry 3 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,618 Underlying: Class A Common Stock · 20,618 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A Common Stock. The restricted stock units will be settled in either Class A Common Stock or cash. F4 · derivative.exercise_date: Reflects a grant of restricted stock units that vest on the date of the Issuer's first annual stockholders meeting following the date of grant. F4 · derivative.expiration_date: Reflects a grant of restricted stock units that vest on the date of the Issuer's first annual stockholders meeting following the date of grant. Read SEC document
June 01, 2022 Filed Jun 3, 2022 22:20 UTC	Vivint Smart Home, Inc. VVNT · Entity 15378	Exercise / conversionRestricted Stock Units · Derivative	8,676	$0.00	$0.00	Disclosure SEC source: 0000899243-22-021073 · doc4.xml · derivative · entry 2 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 8,676 shares Expires not disclosed 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. F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A Common Stock. The restricted stock units will be settled in either Class A Common Stock or cash. F3 · derivative.exercise_date: Reflects restricted stock units that vested on June 1, 2022, the date of the Issuer's first annual stockholders meeting following the date of grant. F3 · derivative.expiration_date: Reflects restricted stock units that vested on June 1, 2022, the date of the Issuer's first annual stockholders meeting following the date of grant. Read SEC document
June 01, 2022 Filed Jun 3, 2022 22:20 UTC	Vivint Smart Home, Inc. VVNT · Entity 15378	Exercise / conversionClass A Common Stock	8,676	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-22-021073 · doc4.xml · nonDerivative · entry 1 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,618 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. F1 · price: Reflects restricted stock units that upon vesting converted into shares of Class A common stock of the Issuer ("Class A Common Stock") on a one-for-one basis. Read SEC document
June 23, 2021 Filed Jun 25, 2021 21:14 UTC	Claritev Corp MPLN · Entity 5238	GrantClass A common stock	133,689	$0.00	$0.00	Disclosure SEC source: 0001793229-21-000051 · wf-form4_162465564922592.xml · nonDerivative · entry 1 Galant Paul · CIK 0001587958 · President, New Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,239 F1 · shares: Represents a grant of restricted stock. Read SEC document
June 02, 2021 Filed Jun 4, 2021 22:56 UTC	Vivint Smart Home, Inc. VVNT · Entity 15378	GrantRestricted Stock Units · Derivative	8,676	$0.00	$0.00	Disclosure SEC source: 0000899243-21-022136 · doc4.xml · derivative · entry 4 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,676 Underlying: Class A Common Stock · 8,676 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A Common Stock. The restricted stock units will be settled in either Class A Common Stock or cash. F4 · derivative.exercise_date: Reflects a grant of restricted stock units that vest on the date of the Issuer's first annual stockholders meeting following the date of grant. F4 · derivative.expiration_date: Reflects a grant of restricted stock units that vest on the date of the Issuer's first annual stockholders meeting following the date of grant. Read SEC document
June 02, 2021 Filed Jun 4, 2021 22:56 UTC	Vivint Smart Home, Inc. VVNT · Entity 15378	Exercise / conversionRestricted Stock Units · Derivative	8,385	$0.00	$0.00	Disclosure SEC source: 0000899243-21-022136 · doc4.xml · derivative · entry 3 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 8,385 shares Expires not disclosed 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. F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A Common Stock. The restricted stock units will be settled in either Class A Common Stock or cash. F3 · derivative.exercise_date: Reflects restricted stock units that vested on June 2, 2021, the date of the Issuer's first annual stockholders meeting following the date of grant. F3 · derivative.expiration_date: Reflects restricted stock units that vested on June 2, 2021, the date of the Issuer's first annual stockholders meeting following the date of grant. Read SEC document
June 02, 2021 Filed Jun 4, 2021 22:56 UTC	Vivint Smart Home, Inc. VVNT · Entity 15378	Tax withholdingClass A Common Stock	1,845	$13.83	$25,516.35	Disclosure SEC source: 0000899243-21-022136 · doc4.xml · nonDerivative · entry 2 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,942 Read SEC document
June 02, 2021 Filed Jun 4, 2021 22:56 UTC	Vivint Smart Home, Inc. VVNT · Entity 15378	Exercise / conversionClass A Common Stock	8,385	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-21-022136 · doc4.xml · nonDerivative · entry 1 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,787 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. F1 · price: Reflects restricted stock units that upon vesting converted into shares of Class A common stock of the Issuer ("Class A Common Stock") on a one-for-one basis. Read SEC document
November 18, 2020 Filed Nov 19, 2020 22:28 UTC	Claritev Corp MPLN · Entity 5238	PurchaseClass A common stock	14,050	$7.17	$100,714.62	Disclosure SEC source: 0000899243-20-031674 · doc4.xml · nonDerivative · entry 2 Galant Paul · CIK 0001587958 · President, New Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,550 F2 · price: The price reported is a weighted average price. 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 of Class A common stock purchased at each separate price. Read SEC document
November 17, 2020 Filed Nov 19, 2020 22:28 UTC	Claritev Corp MPLN · Entity 5238	PurchaseClass A common stock	14,500	$7.01	$101,581.20	Disclosure SEC source: 0000899243-20-031674 · doc4.xml · nonDerivative · entry 1 Galant Paul · CIK 0001587958 · President, New Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,500 F1 · price: The price reported is a weighted average price. 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 of Class A common stock purchased at each separate price. Read SEC document
September 17, 2020 Filed Sep 22, 2020 01:36 UTC	Vivint Smart Home, Inc. VVNT · Entity 15378	ConversionEarnout Rights · Derivative	2,819	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-20-025876 · doc4.xml · derivative · entry 2 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 2,819 shares Expires 2025-01-17 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. F2 · derivative.exercise_price: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · derivative.exercise_price: These Earnout Rights were earned if the volume-weighted average price of the Class A Common Stock exceeded $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights were subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $17.50 Condition was satisfied on September 17, 2020. F1 · kind: Pursuant to an Agreement and Plan of Merger, dated effective as of September 15, 2019, as amended by that certain Amendment No. 1 and as otherwise amended from time to time (the "Merger Agreement"), by and among Legacy Vivint Smart Home, Inc. (f/k/a Vivint Smart Home, Inc.) ("Legacy Vivint Smart Home"), Mosaic Acquisition Corp. ("Mosaic") and Maiden Merger Sub, Inc. ("Merger Sub"), Merger Sub merged (the "Merger") with and into Legacy Vivint Smart Home, with Legacy Vivint Smart Home surviving the merger as a wholly owned subsidiary of Mosaic (which subsequently changed its name to "Vivint Smart Home, Inc.", the "Issuer"). The transactions contemplated by the Merger Agreement closed on January 17, 2020. F2 · kind: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · kind: These Earnout Rights were earned if the volume-weighted average price of the Class A Common Stock exceeded $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights were subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $17.50 Condition was satisfied on September 17, 2020. F2 · shares: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · shares: These Earnout Rights were earned if the volume-weighted average price of the Class A Common Stock exceeded $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights were subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $17.50 Condition was satisfied on September 17, 2020. F2 · price: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · price: These Earnout Rights were earned if the volume-weighted average price of the Class A Common Stock exceeded $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights were subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $17.50 Condition was satisfied on September 17, 2020. F2 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · derivative.exercise_date: These Earnout Rights were earned if the volume-weighted average price of the Class A Common Stock exceeded $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights were subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $17.50 Condition was satisfied on September 17, 2020. F2 · derivative.underlying_shares: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · derivative.underlying_shares: These Earnout Rights were earned if the volume-weighted average price of the Class A Common Stock exceeded $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights were subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $17.50 Condition was satisfied on September 17, 2020. Read SEC document
September 17, 2020 Filed Sep 22, 2020 01:36 UTC	Vivint Smart Home, Inc. VVNT · Entity 15378	ConversionClass A Common Stock	2,819	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-20-025876 · doc4.xml · nonDerivative · entry 1 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,402 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. F1 · kind: Pursuant to an Agreement and Plan of Merger, dated effective as of September 15, 2019, as amended by that certain Amendment No. 1 and as otherwise amended from time to time (the "Merger Agreement"), by and among Legacy Vivint Smart Home, Inc. (f/k/a Vivint Smart Home, Inc.) ("Legacy Vivint Smart Home"), Mosaic Acquisition Corp. ("Mosaic") and Maiden Merger Sub, Inc. ("Merger Sub"), Merger Sub merged (the "Merger") with and into Legacy Vivint Smart Home, with Legacy Vivint Smart Home surviving the merger as a wholly owned subsidiary of Mosaic (which subsequently changed its name to "Vivint Smart Home, Inc.", the "Issuer"). The transactions contemplated by the Merger Agreement closed on January 17, 2020. F2 · kind: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · kind: These Earnout Rights were earned if the volume-weighted average price of the Class A Common Stock exceeded $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights were subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $17.50 Condition was satisfied on September 17, 2020. F4 · shares: Reflects, upon satisfaction of the $17.50 Condition, the issuance of the following: (a) 889 shares of Class A Common Stock, and (b) the right to receive 1,930 shares of Class A Common Stock, which vest upon the settlement of the restricted stock units to which they relate. F1 · price: Pursuant to an Agreement and Plan of Merger, dated effective as of September 15, 2019, as amended by that certain Amendment No. 1 and as otherwise amended from time to time (the "Merger Agreement"), by and among Legacy Vivint Smart Home, Inc. (f/k/a Vivint Smart Home, Inc.) ("Legacy Vivint Smart Home"), Mosaic Acquisition Corp. ("Mosaic") and Maiden Merger Sub, Inc. ("Merger Sub"), Merger Sub merged (the "Merger") with and into Legacy Vivint Smart Home, with Legacy Vivint Smart Home surviving the merger as a wholly owned subsidiary of Mosaic (which subsequently changed its name to "Vivint Smart Home, Inc.", the "Issuer"). The transactions contemplated by the Merger Agreement closed on January 17, 2020. F2 · price: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · price: These Earnout Rights were earned if the volume-weighted average price of the Class A Common Stock exceeded $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights were subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $17.50 Condition was satisfied on September 17, 2020. Read SEC document
June 09, 2020 Filed Jun 11, 2020 01:24 UTC	Vivint Smart Home, Inc. VVNT · Entity 15378	GrantRestricted Stock Units · Derivative	8,385	$0.00	$0.00	Disclosure SEC source: 0000899243-20-016028 · doc4.xml · derivative · entry 1 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,385 Underlying: Class A Common Stock · 8,385 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock of the Issuer ("Class A Common Stock"). The restricted stock units will be settled in either Class A Common Stock or cash. F2 · derivative.exercise_date: Reflects a grant of restricted stock units that vest on the date of the Issuer's first annual stockholders meeting following the date of grant. F2 · derivative.expiration_date: Reflects a grant of restricted stock units that vest on the date of the Issuer's first annual stockholders meeting following the date of grant. Read SEC document
March 11, 2020 Filed Mar 14, 2020 00:33 UTC	Vivint Smart Home, Inc. VVNT · Entity 15378	ConversionEarnout Rights · Derivative	2,792	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-20-008346 · doc4.xml · derivative · entry 2 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,792 Underlying: Class A Common Stock · 2,792 shares Expires 2025-01-17 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. F2 · derivative.exercise_price: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · derivative.exercise_price: Of these Earnout Rights, one-half are earned if the volume-weighted average price of the Class A Common Stock exceeds $15.00 for any 20 trading days within any 30 trading day period (the "$15.00 Condition"), and one-half are earned if the volume-weighted average price of the Class A Common Stock exceeds $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights are subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $15.00 Condition was satisfied on March 11, 2020. F1 · kind: Pursuant to an Agreement and Plan of Merger, dated effective as of September 15, 2019, as amended by that certain Amendment No. 1 and as otherwise amended from time to time (the "Merger Agreement"), by and among Legacy Vivint Smart Home, Inc. (f/k/a Vivint Smart Home, Inc.) ("Legacy Vivint Smart Home"), Mosaic Acquisition Corp. ("Mosaic") and Maiden Merger Sub, Inc. ("Merger Sub"), Merger Sub merged (the "Merger") with and into Legacy Vivint Smart Home, with Legacy Vivint Smart Home surviving the merger as a wholly owned subsidiary of Mosaic (which subsequently changed its name to "Vivint Smart Home, Inc.", the "Issuer"). The transactions contemplated by the Merger Agreement closed on January 17, 2020. F2 · kind: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · kind: Of these Earnout Rights, one-half are earned if the volume-weighted average price of the Class A Common Stock exceeds $15.00 for any 20 trading days within any 30 trading day period (the "$15.00 Condition"), and one-half are earned if the volume-weighted average price of the Class A Common Stock exceeds $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights are subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $15.00 Condition was satisfied on March 11, 2020. F2 · shares: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · shares: Of these Earnout Rights, one-half are earned if the volume-weighted average price of the Class A Common Stock exceeds $15.00 for any 20 trading days within any 30 trading day period (the "$15.00 Condition"), and one-half are earned if the volume-weighted average price of the Class A Common Stock exceeds $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights are subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $15.00 Condition was satisfied on March 11, 2020. F2 · price: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · price: Of these Earnout Rights, one-half are earned if the volume-weighted average price of the Class A Common Stock exceeds $15.00 for any 20 trading days within any 30 trading day period (the "$15.00 Condition"), and one-half are earned if the volume-weighted average price of the Class A Common Stock exceeds $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights are subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $15.00 Condition was satisfied on March 11, 2020. F2 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · derivative.exercise_date: Of these Earnout Rights, one-half are earned if the volume-weighted average price of the Class A Common Stock exceeds $15.00 for any 20 trading days within any 30 trading day period (the "$15.00 Condition"), and one-half are earned if the volume-weighted average price of the Class A Common Stock exceeds $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights are subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $15.00 Condition was satisfied on March 11, 2020. F2 · derivative.underlying_shares: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · derivative.underlying_shares: Of these Earnout Rights, one-half are earned if the volume-weighted average price of the Class A Common Stock exceeds $15.00 for any 20 trading days within any 30 trading day period (the "$15.00 Condition"), and one-half are earned if the volume-weighted average price of the Class A Common Stock exceeds $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights are subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $15.00 Condition was satisfied on March 11, 2020. F2 · balance_after: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · balance_after: Of these Earnout Rights, one-half are earned if the volume-weighted average price of the Class A Common Stock exceeds $15.00 for any 20 trading days within any 30 trading day period (the "$15.00 Condition"), and one-half are earned if the volume-weighted average price of the Class A Common Stock exceeds $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights are subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $15.00 Condition was satisfied on March 11, 2020. Read SEC document
March 11, 2020 Filed Mar 14, 2020 00:33 UTC	Vivint Smart Home, Inc. VVNT · Entity 15378	ConversionClass A Common Stock	2,792	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-20-008346 · doc4.xml · nonDerivative · entry 1 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,583 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. F1 · kind: Pursuant to an Agreement and Plan of Merger, dated effective as of September 15, 2019, as amended by that certain Amendment No. 1 and as otherwise amended from time to time (the "Merger Agreement"), by and among Legacy Vivint Smart Home, Inc. (f/k/a Vivint Smart Home, Inc.) ("Legacy Vivint Smart Home"), Mosaic Acquisition Corp. ("Mosaic") and Maiden Merger Sub, Inc. ("Merger Sub"), Merger Sub merged (the "Merger") with and into Legacy Vivint Smart Home, with Legacy Vivint Smart Home surviving the merger as a wholly owned subsidiary of Mosaic (which subsequently changed its name to "Vivint Smart Home, Inc.", the "Issuer"). The transactions contemplated by the Merger Agreement closed on January 17, 2020. F2 · kind: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · kind: Of these Earnout Rights, one-half are earned if the volume-weighted average price of the Class A Common Stock exceeds $15.00 for any 20 trading days within any 30 trading day period (the "$15.00 Condition"), and one-half are earned if the volume-weighted average price of the Class A Common Stock exceeds $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights are subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $15.00 Condition was satisfied on March 11, 2020. F4 · shares: Reflects, upon satisfaction of the $15.00 Condition, the issuance of the following: (a) 880 shares of Class A Common Stock, and (b) the right to receive 1,912 shares of Class A Common Stock, which vest upon the settlement of the restricted stock units to which they relate. F1 · price: Pursuant to an Agreement and Plan of Merger, dated effective as of September 15, 2019, as amended by that certain Amendment No. 1 and as otherwise amended from time to time (the "Merger Agreement"), by and among Legacy Vivint Smart Home, Inc. (f/k/a Vivint Smart Home, Inc.) ("Legacy Vivint Smart Home"), Mosaic Acquisition Corp. ("Mosaic") and Maiden Merger Sub, Inc. ("Merger Sub"), Merger Sub merged (the "Merger") with and into Legacy Vivint Smart Home, with Legacy Vivint Smart Home surviving the merger as a wholly owned subsidiary of Mosaic (which subsequently changed its name to "Vivint Smart Home, Inc.", the "Issuer"). The transactions contemplated by the Merger Agreement closed on January 17, 2020. F2 · price: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · price: Of these Earnout Rights, one-half are earned if the volume-weighted average price of the Class A Common Stock exceeds $15.00 for any 20 trading days within any 30 trading day period (the "$15.00 Condition"), and one-half are earned if the volume-weighted average price of the Class A Common Stock exceeds $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights are subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $15.00 Condition was satisfied on March 11, 2020. Read SEC document
February 26, 2020 Filed Feb 29, 2020 01:17 UTC	Vivint Smart Home, Inc. VVNT · Entity 15378	ConversionEarnout Rights · Derivative	2,791	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-20-006372 · doc4.xml · derivative · entry 2 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,582 Underlying: Class A Common Stock · 2,791 shares Expires 2025-01-17 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. F2 · derivative.exercise_price: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · derivative.exercise_price: Of these Earnout Rights, one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $12.50 for any 20 trading days within any 30 trading day period (the "$12.50 Condition"), one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $15.00 for any 20 trading days within any 30 trading day period (the "$15.00 Condition"), and one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights are subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $12.50 Condition was satisfied on February 26, 2020. F1 · kind: Pursuant to an Agreement and Plan of Merger, dated effective as of September 15, 2019, as amended by that certain Amendment No. 1 and as otherwise amended from time to time (the "Merger Agreement"), by and among Legacy Vivint Smart Home, Inc. (f/k/a Vivint Smart Home, Inc.) ("Legacy Vivint Smart Home"), Mosaic Acquisition Corp. ("Mosaic") and Maiden Merger Sub, Inc. ("Merger Sub"), Merger Sub merged (the "Merger") with and into Legacy Vivint Smart Home, with Legacy Vivint Smart Home surviving the merger as a wholly owned subsidiary of Mosaic (which subsequently changed its name to "Vivint Smart Home, Inc.", the "Issuer"). The transactions contemplated by the Merger Agreement closed on January 17, 2020. F2 · kind: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · kind: Of these Earnout Rights, one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $12.50 for any 20 trading days within any 30 trading day period (the "$12.50 Condition"), one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $15.00 for any 20 trading days within any 30 trading day period (the "$15.00 Condition"), and one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights are subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $12.50 Condition was satisfied on February 26, 2020. F2 · shares: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · shares: Of these Earnout Rights, one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $12.50 for any 20 trading days within any 30 trading day period (the "$12.50 Condition"), one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $15.00 for any 20 trading days within any 30 trading day period (the "$15.00 Condition"), and one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights are subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $12.50 Condition was satisfied on February 26, 2020. F2 · price: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · price: Of these Earnout Rights, one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $12.50 for any 20 trading days within any 30 trading day period (the "$12.50 Condition"), one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $15.00 for any 20 trading days within any 30 trading day period (the "$15.00 Condition"), and one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights are subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $12.50 Condition was satisfied on February 26, 2020. F2 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · derivative.exercise_date: Of these Earnout Rights, one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $12.50 for any 20 trading days within any 30 trading day period (the "$12.50 Condition"), one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $15.00 for any 20 trading days within any 30 trading day period (the "$15.00 Condition"), and one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights are subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $12.50 Condition was satisfied on February 26, 2020. F2 · derivative.underlying_shares: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · derivative.underlying_shares: Of these Earnout Rights, one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $12.50 for any 20 trading days within any 30 trading day period (the "$12.50 Condition"), one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $15.00 for any 20 trading days within any 30 trading day period (the "$15.00 Condition"), and one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights are subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $12.50 Condition was satisfied on February 26, 2020. F2 · balance_after: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · balance_after: Of these Earnout Rights, one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $12.50 for any 20 trading days within any 30 trading day period (the "$12.50 Condition"), one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $15.00 for any 20 trading days within any 30 trading day period (the "$15.00 Condition"), and one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights are subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $12.50 Condition was satisfied on February 26, 2020. Read SEC document
February 26, 2020 Filed Feb 29, 2020 01:17 UTC	Vivint Smart Home, Inc. VVNT · Entity 15378	ConversionClass A Common Stock	2,791	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-20-006372 · doc4.xml · nonDerivative · entry 1 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,791 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. F1 · kind: Pursuant to an Agreement and Plan of Merger, dated effective as of September 15, 2019, as amended by that certain Amendment No. 1 and as otherwise amended from time to time (the "Merger Agreement"), by and among Legacy Vivint Smart Home, Inc. (f/k/a Vivint Smart Home, Inc.) ("Legacy Vivint Smart Home"), Mosaic Acquisition Corp. ("Mosaic") and Maiden Merger Sub, Inc. ("Merger Sub"), Merger Sub merged (the "Merger") with and into Legacy Vivint Smart Home, with Legacy Vivint Smart Home surviving the merger as a wholly owned subsidiary of Mosaic (which subsequently changed its name to "Vivint Smart Home, Inc.", the "Issuer"). The transactions contemplated by the Merger Agreement closed on January 17, 2020. F2 · kind: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · kind: Of these Earnout Rights, one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $12.50 for any 20 trading days within any 30 trading day period (the "$12.50 Condition"), one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $15.00 for any 20 trading days within any 30 trading day period (the "$15.00 Condition"), and one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights are subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $12.50 Condition was satisfied on February 26, 2020. F4 · shares: Reflects, upon satisfaction of the $12.50 Condition, the issuance of the following: (a) 880 shares of Class A Common Stock, and (b) the right to receive 1,911 shares of Class A Common Stock, which vest upon the settlement of the restricted stock units to which they relate. F1 · price: Pursuant to an Agreement and Plan of Merger, dated effective as of September 15, 2019, as amended by that certain Amendment No. 1 and as otherwise amended from time to time (the "Merger Agreement"), by and among Legacy Vivint Smart Home, Inc. (f/k/a Vivint Smart Home, Inc.) ("Legacy Vivint Smart Home"), Mosaic Acquisition Corp. ("Mosaic") and Maiden Merger Sub, Inc. ("Merger Sub"), Merger Sub merged (the "Merger") with and into Legacy Vivint Smart Home, with Legacy Vivint Smart Home surviving the merger as a wholly owned subsidiary of Mosaic (which subsequently changed its name to "Vivint Smart Home, Inc.", the "Issuer"). The transactions contemplated by the Merger Agreement closed on January 17, 2020. F2 · price: Pursuant to the terms of the Merger Agreement, the stockholders and holders of equity awards of Legacy Vivint Smart Home at the effective time of the Merger received, among other consideration, certain rights to additional shares of Class A common stock of the Issuer ("Class A Common Stock") or to have the terms and conditions of their equity awards equitably adjusted, in each case, upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock and/or have the terms and conditions of their equity award equitably adjusted if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below, subject to the terms of the Merger Agreement. F3 · price: Of these Earnout Rights, one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $12.50 for any 20 trading days within any 30 trading day period (the "$12.50 Condition"), one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $15.00 for any 20 trading days within any 30 trading day period (the "$15.00 Condition"), and one-third are earned if the volume-weighted average price of the Class A Common Stock exceeds $17.50 for any 20 trading days within any 30 trading day period (the "$17.50 Condition"). The Earnout Rights are subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. The $12.50 Condition was satisfied on February 26, 2020. Read SEC document
January 17, 2020 Filed Jan 22, 2020 23:57 UTC	Vivint Smart Home, Inc. VVNT · Entity 15378	GrantStock Appreciation Rights · Derivative	7,261	Not disclosed Strike: $13.47	Not disclosed	Disclosure SEC source: 0000899243-20-001714 · doc4.xml · derivative · entry 3 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,261 Underlying: Class A Common Stock · 7,261 shares Expires 2016-09-20 F2 · kind: Pursuant to an Agreement and Plan of Merger, dated effective as of September 15, 2019, as amended by that certain Amendment No. 1 and as otherwise amended from time to time (the "Merger Agreement"), by and among Legacy Vivint Smart Home, Inc. (f/k/a Vivint Smart Home, Inc.) ("Legacy Vivint Smart Home"), Mosaic Acquisition Corp. ("Mosaic") and Maiden Merger Sub, Inc. ("Merger Sub"), Merger Sub merged (the "Merger") with and into Legacy Vivint Smart Home, with Legacy Vivint Smart Home surviving the merger as a wholly owned subsidiary of Mosaic (which subsequently changed its name to "Vivint Smart Home, Inc.", the "Issuer"). F3 · kind: Pursuant to the terms of the Merger Agreement, the stockholders of Legacy Vivint Smart Home at the effective time of the Merger (the "Effective Time") received 84.5320916792 shares of Class A common stock of the Issuer ("Class A Common Stock") for each share of common stock of Legacy Vivint Smart Home held by them immediately prior to the Effective Time and certain rights to additional shares of Class A Common Stock upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Additionally, certain equity awards of a subsidiary of Legacy Vivint Smart Home were canceled and converted into equity awards of the Issuer, and restricted shares of common stock of Legacy Vivint Smart Home, issued in respect of a redemption of certain Class B Units of 313 Acquisition LLC, were cancelled and converted into restricted shares of Class A Common Stock of the Issuer. F7 · price: These stock appreciation rights are fully vested. F7 · derivative.exercise_date: These stock appreciation rights are fully vested. Read SEC document
January 17, 2020 Filed Jan 22, 2020 23:57 UTC	Vivint Smart Home, Inc. VVNT · Entity 15378	GrantEarnout Rights · Derivative	8,377	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-20-001714 · doc4.xml · derivative · entry 2 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,377 Underlying: Class A Common Stock · 8,377 shares Expires 2025-01-17 F5 · derivative.exercise_price: Reflects Earnout Rights acquired pursuant to the Merger Agreement. Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below. F6 · derivative.exercise_price: Of these Earnout Rights, one-third will be issued if the volume-weighted average price of the Class A Common Stock exceeds $12.50 for any 20 trading days within any 30 trading day period, one-third will be issued if the volume-weighted average price of the Class A Common Stock exceeds $15.00 for any 20 trading days within any 30 trading day period, and one-third will be issued if the volume-weighted average price of the Class A Common Stock exceeds $17.50 for any 20 trading days within any 30 trading day period. The issuance of such shares are subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. F2 · kind: Pursuant to an Agreement and Plan of Merger, dated effective as of September 15, 2019, as amended by that certain Amendment No. 1 and as otherwise amended from time to time (the "Merger Agreement"), by and among Legacy Vivint Smart Home, Inc. (f/k/a Vivint Smart Home, Inc.) ("Legacy Vivint Smart Home"), Mosaic Acquisition Corp. ("Mosaic") and Maiden Merger Sub, Inc. ("Merger Sub"), Merger Sub merged (the "Merger") with and into Legacy Vivint Smart Home, with Legacy Vivint Smart Home surviving the merger as a wholly owned subsidiary of Mosaic (which subsequently changed its name to "Vivint Smart Home, Inc.", the "Issuer"). F3 · kind: Pursuant to the terms of the Merger Agreement, the stockholders of Legacy Vivint Smart Home at the effective time of the Merger (the "Effective Time") received 84.5320916792 shares of Class A common stock of the Issuer ("Class A Common Stock") for each share of common stock of Legacy Vivint Smart Home held by them immediately prior to the Effective Time and certain rights to additional shares of Class A Common Stock upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Additionally, certain equity awards of a subsidiary of Legacy Vivint Smart Home were canceled and converted into equity awards of the Issuer, and restricted shares of common stock of Legacy Vivint Smart Home, issued in respect of a redemption of certain Class B Units of 313 Acquisition LLC, were cancelled and converted into restricted shares of Class A Common Stock of the Issuer. F5 · price: Reflects Earnout Rights acquired pursuant to the Merger Agreement. Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below. F6 · price: Of these Earnout Rights, one-third will be issued if the volume-weighted average price of the Class A Common Stock exceeds $12.50 for any 20 trading days within any 30 trading day period, one-third will be issued if the volume-weighted average price of the Class A Common Stock exceeds $15.00 for any 20 trading days within any 30 trading day period, and one-third will be issued if the volume-weighted average price of the Class A Common Stock exceeds $17.50 for any 20 trading days within any 30 trading day period. The issuance of such shares are subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. F5 · derivative.exercise_date: Reflects Earnout Rights acquired pursuant to the Merger Agreement. Pursuant to earnout provisions in the Merger Agreement, the Reporting Person is entitled to receive such shares of Class A Common Stock if, from the closing of the Merger until the fifth anniversary thereof, the volume-weighted average price of the Class A Common Stock exceeds certain thresholds as discussed below. F6 · derivative.exercise_date: Of these Earnout Rights, one-third will be issued if the volume-weighted average price of the Class A Common Stock exceeds $12.50 for any 20 trading days within any 30 trading day period, one-third will be issued if the volume-weighted average price of the Class A Common Stock exceeds $15.00 for any 20 trading days within any 30 trading day period, and one-third will be issued if the volume-weighted average price of the Class A Common Stock exceeds $17.50 for any 20 trading days within any 30 trading day period. The issuance of such shares are subject to certain adjustments, including pro rata adjustments, set forth in the Merger Agreement. Read SEC document
January 17, 2020 Filed Jan 22, 2020 23:57 UTC	Vivint Smart Home, Inc. VVNT · Entity 15378	GrantRestricted Stock Units · Derivative	15,763	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-20-001714 · doc4.xml · derivative · entry 1 Galant Paul · CIK 0001587958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,763 Underlying: Class A Common Stock · 15,763 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock of the Issuer ("Class A Common Stock"). The restricted stock units will be settled in either Class A Common Stock or cash. F2 · kind: Pursuant to an Agreement and Plan of Merger, dated effective as of September 15, 2019, as amended by that certain Amendment No. 1 and as otherwise amended from time to time (the "Merger Agreement"), by and among Legacy Vivint Smart Home, Inc. (f/k/a Vivint Smart Home, Inc.) ("Legacy Vivint Smart Home"), Mosaic Acquisition Corp. ("Mosaic") and Maiden Merger Sub, Inc. ("Merger Sub"), Merger Sub merged (the "Merger") with and into Legacy Vivint Smart Home, with Legacy Vivint Smart Home surviving the merger as a wholly owned subsidiary of Mosaic (which subsequently changed its name to "Vivint Smart Home, Inc.", the "Issuer"). F3 · kind: Pursuant to the terms of the Merger Agreement, the stockholders of Legacy Vivint Smart Home at the effective time of the Merger (the "Effective Time") received 84.5320916792 shares of Class A common stock of the Issuer ("Class A Common Stock") for each share of common stock of Legacy Vivint Smart Home held by them immediately prior to the Effective Time and certain rights to additional shares of Class A Common Stock upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Additionally, certain equity awards of a subsidiary of Legacy Vivint Smart Home were canceled and converted into equity awards of the Issuer, and restricted shares of common stock of Legacy Vivint Smart Home, issued in respect of a redemption of certain Class B Units of 313 Acquisition LLC, were cancelled and converted into restricted shares of Class A Common Stock of the Issuer. F2 · price: Pursuant to an Agreement and Plan of Merger, dated effective as of September 15, 2019, as amended by that certain Amendment No. 1 and as otherwise amended from time to time (the "Merger Agreement"), by and among Legacy Vivint Smart Home, Inc. (f/k/a Vivint Smart Home, Inc.) ("Legacy Vivint Smart Home"), Mosaic Acquisition Corp. ("Mosaic") and Maiden Merger Sub, Inc. ("Merger Sub"), Merger Sub merged (the "Merger") with and into Legacy Vivint Smart Home, with Legacy Vivint Smart Home surviving the merger as a wholly owned subsidiary of Mosaic (which subsequently changed its name to "Vivint Smart Home, Inc.", the "Issuer"). F3 · price: Pursuant to the terms of the Merger Agreement, the stockholders of Legacy Vivint Smart Home at the effective time of the Merger (the "Effective Time") received 84.5320916792 shares of Class A common stock of the Issuer ("Class A Common Stock") for each share of common stock of Legacy Vivint Smart Home held by them immediately prior to the Effective Time and certain rights to additional shares of Class A Common Stock upon the achievement of certain milestones as described in the Merger Agreement (the "Earnout Rights"). Additionally, certain equity awards of a subsidiary of Legacy Vivint Smart Home were canceled and converted into equity awards of the Issuer, and restricted shares of common stock of Legacy Vivint Smart Home, issued in respect of a redemption of certain Class B Units of 313 Acquisition LLC, were cancelled and converted into restricted shares of Class A Common Stock of the Issuer. F4 · derivative.exercise_date: These restricted stock units vest in three equal annual installments beginning on June 8, 2019. The vested restricted stock units will settle as soon as reasonably practicable following the earliest to occur of: (a) the termination of the Reporting Person's service as a director, (b) a change of control of the Issuer, and (c) June 8, 2023. F4 · derivative.expiration_date: These restricted stock units vest in three equal annual installments beginning on June 8, 2019. The vested restricted stock units will settle as soon as reasonably practicable following the earliest to occur of: (a) the termination of the Reporting Person's service as a director, (b) a change of control of the Issuer, and (c) June 8, 2023. Read SEC document
August 20, 2018 Filed Aug 22, 2018 14:40 UTC	VERIFONE SYSTEMS, INC. PAY · Entity 164071	Disposition to issuerRestricted Stock Units · Derivative	108,187	Not disclosed Strike: $0.00	Not disclosed	Disclosure SEC source: 0000899243-18-022998 · doc4.xml · derivative · entry 9 Galant Paul · CIK 0001587958 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 108,187 shares Expires not disclosed F6 · security: Represents restricted stock units subject to performance-based vesting conditions (a "Company P-RSU") under the Company's stock plans. F7 · price: At the Effective Time, each outstanding Company P-RSU was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company P-RSU immediately prior to the Effective Time based on the actual performance through the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time. F7 · derivative.exercise_date: At the Effective Time, each outstanding Company P-RSU was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company P-RSU immediately prior to the Effective Time based on the actual performance through the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time. F7 · derivative.expiration_date: At the Effective Time, each outstanding Company P-RSU was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company P-RSU immediately prior to the Effective Time based on the actual performance through the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time. Read SEC document
August 20, 2018 Filed Aug 22, 2018 14:40 UTC	VERIFONE SYSTEMS, INC. PAY · Entity 164071	Disposition to issuerRestricted Stock Units · Derivative	126,711	Not disclosed Strike: $0.00	Not disclosed	Disclosure SEC source: 0000899243-18-022998 · doc4.xml · derivative · entry 8 Galant Paul · CIK 0001587958 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 126,711 shares Expires not disclosed F6 · security: Represents restricted stock units subject to performance-based vesting conditions (a "Company P-RSU") under the Company's stock plans. F7 · price: At the Effective Time, each outstanding Company P-RSU was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company P-RSU immediately prior to the Effective Time based on the actual performance through the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time. F7 · derivative.exercise_date: At the Effective Time, each outstanding Company P-RSU was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company P-RSU immediately prior to the Effective Time based on the actual performance through the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time. F7 · derivative.expiration_date: At the Effective Time, each outstanding Company P-RSU was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company P-RSU immediately prior to the Effective Time based on the actual performance through the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time. Read SEC document
August 20, 2018 Filed Aug 22, 2018 14:40 UTC	VERIFONE SYSTEMS, INC. PAY · Entity 164071	Disposition to issuerRestricted Stock Units · Derivative	147,406	Not disclosed Strike: $0.00	Not disclosed	Disclosure SEC source: 0000899243-18-022998 · doc4.xml · derivative · entry 7 Galant Paul · CIK 0001587958 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 147,406 shares Expires not disclosed F6 · security: Represents restricted stock units subject to performance-based vesting conditions (a "Company P-RSU") under the Company's stock plans. F7 · price: At the Effective Time, each outstanding Company P-RSU was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company P-RSU immediately prior to the Effective Time based on the actual performance through the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time. F7 · derivative.exercise_date: At the Effective Time, each outstanding Company P-RSU was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company P-RSU immediately prior to the Effective Time based on the actual performance through the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time. F7 · derivative.expiration_date: At the Effective Time, each outstanding Company P-RSU was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company P-RSU immediately prior to the Effective Time based on the actual performance through the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time. Read SEC document
August 20, 2018 Filed Aug 22, 2018 14:40 UTC	VERIFONE SYSTEMS, INC. PAY · Entity 164071	Disposition to issuerRestricted Stock Units · Derivative	7,225	Not disclosed Strike: $0.00	Not disclosed	Disclosure SEC source: 0000899243-18-022998 · doc4.xml · derivative · entry 6 Galant Paul · CIK 0001587958 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 7,225 shares Expires not disclosed F4 · security: Represents restricted stock units subject only to service-based vesting conditions (a "Company RSU") under the Company's stock plans. F5 · price: At the Effective Time, each outstanding Company RSU under the Company's stock plans was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company RSU immediately prior to the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time. F5 · derivative.exercise_date: At the Effective Time, each outstanding Company RSU under the Company's stock plans was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company RSU immediately prior to the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time. F5 · derivative.expiration_date: At the Effective Time, each outstanding Company RSU under the Company's stock plans was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company RSU immediately prior to the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time. Read SEC document
August 20, 2018 Filed Aug 22, 2018 14:40 UTC	VERIFONE SYSTEMS, INC. PAY · Entity 164071	Disposition to issuerRestricted Stock Units · Derivative	26,625	Not disclosed Strike: $0.00	Not disclosed	Disclosure SEC source: 0000899243-18-022998 · doc4.xml · derivative · entry 5 Galant Paul · CIK 0001587958 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 26,625 shares Expires not disclosed F4 · security: Represents restricted stock units subject only to service-based vesting conditions (a "Company RSU") under the Company's stock plans. F5 · price: At the Effective Time, each outstanding Company RSU under the Company's stock plans was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company RSU immediately prior to the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time. F5 · derivative.exercise_date: At the Effective Time, each outstanding Company RSU under the Company's stock plans was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company RSU immediately prior to the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time. F5 · derivative.expiration_date: At the Effective Time, each outstanding Company RSU under the Company's stock plans was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company RSU immediately prior to the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time. Read SEC document
August 20, 2018 Filed Aug 22, 2018 14:40 UTC	VERIFONE SYSTEMS, INC. PAY · Entity 164071	Disposition to issuerRestricted Stock Units · Derivative	90,578	Not disclosed Strike: $0.00	Not disclosed	Disclosure SEC source: 0000899243-18-022998 · doc4.xml · derivative · entry 4 Galant Paul · CIK 0001587958 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 90,578 shares Expires not disclosed F4 · security: Represents restricted stock units subject only to service-based vesting conditions (a "Company RSU") under the Company's stock plans. F5 · price: At the Effective Time, each outstanding Company RSU under the Company's stock plans was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company RSU immediately prior to the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time. F5 · derivative.exercise_date: At the Effective Time, each outstanding Company RSU under the Company's stock plans was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company RSU immediately prior to the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time. F5 · derivative.expiration_date: At the Effective Time, each outstanding Company RSU under the Company's stock plans was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company RSU immediately prior to the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time. Read SEC document
August 20, 2018 Filed Aug 22, 2018 14:40 UTC	VERIFONE SYSTEMS, INC. PAY · Entity 164071	Disposition to issuerRestricted Stock Units · Derivative	141,219	Not disclosed Strike: $0.00	Not disclosed	Disclosure SEC source: 0000899243-18-022998 · doc4.xml · derivative · entry 3 Galant Paul · CIK 0001587958 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 141,219 shares Expires not disclosed F4 · security: Represents restricted stock units subject only to service-based vesting conditions (a "Company RSU") under the Company's stock plans. F5 · price: At the Effective Time, each outstanding Company RSU under the Company's stock plans was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company RSU immediately prior to the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time. F5 · derivative.exercise_date: At the Effective Time, each outstanding Company RSU under the Company's stock plans was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company RSU immediately prior to the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time. F5 · derivative.expiration_date: At the Effective Time, each outstanding Company RSU under the Company's stock plans was converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (i) the total number of Shares subject to such Company RSU immediately prior to the Effective Time by (ii) $23.04, less withholding taxes, and otherwise remains subject to the same vesting schedule that applied immediately prior to the Effective Time. Read SEC document
August 20, 2018 Filed Aug 22, 2018 14:40 UTC	VERIFONE SYSTEMS, INC. PAY · Entity 164071	Disposition to issuerStock Option (right to buy) · Derivative	500,000	Not disclosed Strike: $23.00	Not disclosed	Disclosure SEC source: 0000899243-18-022998 · doc4.xml · derivative · entry 2 Galant Paul · CIK 0001587958 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 500,000 shares Expires 2020-09-30 F2 · price: At the Effective Time, (a) each outstanding vested option (or vested portion thereof) to purchase Shares (each, a "Vested Company Option") was cancelled and converted into the right to receive (without interest), no later than three business days after the Effective Time, an amount in cash equal to the product obtained by multiplying (i) the total number of Shares subject to such Vested Company Option immediately prior to the Effective Time by (ii) the excess, if any, of $23.04 over the exercise price per Share of such Vested Company Option, less withholding taxes; and (b) each outstanding unvested option (or unvested portion thereof) to purchase Shares (each, an "Unvested Company Option") was cancelled and converted into the right to receive an amount in cash, without interest, F3 · price: (Continued from footnote 2) equal to the product obtained by multiplying (i) the total number of Shares subject to such Unvested Company Option immediately prior to the Effective Time by (ii) the excess, if any, of (A) $23.04 over (B) the exercise price per Share of such Unvested Company Option less withholding taxes, which remains subject to the same vesting schedule that applied to such Unvested Company Option immediately prior to the Effective Time. F8 · derivative.exercise_date: 25% of these Vested Company Options vested on the first anniversary of October 1, 2014. Thereafter, 6.25% of these Vested Company Options vested at the end of each subsequent three month period until these Vested Company Options had fully vested. Read SEC document
August 20, 2018 Filed Aug 22, 2018 14:40 UTC	VERIFONE SYSTEMS, INC. PAY · Entity 164071	Disposition to issuerCommon Stock, par value $0.01 per share	236,267	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-18-022998 · doc4.xml · nonDerivative · entry 1 Galant Paul · CIK 0001587958 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: At the effective time of the merger contemplated by the Agreement and Plan of Merger, dated as of April 9, 2018, by and among VeriFone Systems, Inc. (the "Company"), Vertex Holdco LLC, and Vertex Merger Sub LLC (the "Effective Time"), each issued and outstanding share of common stock of the Company (each, a "Share") held by Mr. Galant was converted into the right to receive $23.04 in cash, without interest. Read SEC document
July 04, 2018 Filed Jul 6, 2018 16:21 UTC	VERIFONE SYSTEMS, INC. PAY · Entity 164071	Exercise / conversionRestricted Stock Units · Derivative	4,438	$0.00	$0.00	Disclosure SEC source: 0001209191-18-041873 · doc4.xml · derivative · entry 3 Galant Paul · CIK 0001587958 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,625 Underlying: Common Stock, par value $0.01 per share · 4,438 shares Expires not disclosed 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. F1 · derivative.exercise_price: On July 4, 2018, shares of the issuer's common stock underlying these restricted stock units became deliverable without the payment of any consideration and were delivered to the reporting person. F1 · derivative.exercise_date: On July 4, 2018, shares of the issuer's common stock underlying these restricted stock units became deliverable without the payment of any consideration and were delivered to the reporting person. F1 · derivative.expiration_date: On July 4, 2018, shares of the issuer's common stock underlying these restricted stock units became deliverable without the payment of any consideration and were delivered to the reporting person. Read SEC document
July 04, 2018 Filed Jul 6, 2018 16:21 UTC	VERIFONE SYSTEMS, INC. PAY · Entity 164071	Tax withholdingCommon Stock, par value $0.01 per share	2,201	$22.84	$50,270.84	Disclosure SEC source: 0001209191-18-041873 · doc4.xml · nonDerivative · entry 2 Galant Paul · CIK 0001587958 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 236,267 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.