0001209191-20-005788.txt : 20200131 0001209191-20-005788.hdr.sgml : 20200131 20200131165137 ACCESSION NUMBER: 0001209191-20-005788 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200130 FILED AS OF DATE: 20200131 DATE AS OF CHANGE: 20200131 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Russell Dana C CENTRAL INDEX KEY: 0001367405 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36642 FILM NUMBER: 20565702 MAIL ADDRESS: STREET 1: 404 WYMAN STREET STREET 2: SUITE 500 CITY: WALTHAM STATE: MA ZIP: 02451 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Vivint Solar, Inc. CENTRAL INDEX KEY: 0001607716 STANDARD INDUSTRIAL CLASSIFICATION: HEATING EQUIPMENT, EXCEPT ELECTRIC & WARM AIR FURNACES [3433] IRS NUMBER: 455605880 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1800 WEST ASHTON BLVD. CITY: LEHI STATE: UT ZIP: 84043 BUSINESS PHONE: (877) 404-4129 MAIL ADDRESS: STREET 1: 1800 WEST ASHTON BLVD. CITY: LEHI STATE: UT ZIP: 84043 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-01-30 0 0001607716 Vivint Solar, Inc. VSLR 0001367405 Russell Dana C 1800 WEST ASHTON BLVD LEHI UT 84043 0 1 0 0 CFO and EVP Common Stock 2020-01-30 4 M 0 300 1.30 A 325745 D Common Stock 2020-01-30 4 S 0 300 9.00 D 325445 D Stock Option (Right to Buy) 1.30 2020-01-30 4 M 0 300 0.00 D 2024-01-23 Common Stock 300 450665 D The sales reported by Mr. Russell were effected pursuant to a Rule 10b5-1 trading plan. One-third of this option vests annually in five equal installments beginning 11/18/14. The remaining two-thirds of the outstanding options vest as follows: (1) one-half will vest if and upon the date that is the sooner of (a) 313 Acquisition LLC receives a return on its invested capital at a pre-established threshold or (b) the Company's aggregate equity market capitalization is equal to or greater than $1 billion on a date no sooner than 240 days after the commencement of this offering, and (2) one-half of the shares vest if and upon the date that 313 Acquisition LLC receives an additional return on its investment at a second pre-established threshold. /s/ Dana C. Russell 2020-01-31