Schwarzman Stephen A's Form 4 filing
Vivint Smart Home, Inc. (VVNT) · filed Mar 14, 2023
- Accession no.
- 0000899243-23-008352
- Filed
- Mar 14, 2023, 2:05 PM ET
- Trade date
- Mar 10, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions. Open-market sales total $1.20B. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Schwarzman Stephen ACIK 0001070844 | 10% Owner |
| Blackstone Inc.CIK 0001393818 | 10% Owner |
| Blackstone Group Management L.L.C.CIK 0001404071 | 10% Owner |
| Blackstone Holdings III L.P.CIK 0001404073 | 10% Owner |
| Blackstone Holdings III GP L.P.CIK 0001478809 | 10% Owner |
| Blackstone Holdings III GP Management L.L.C.CIK 0001478815 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 10, 2023 | Class A Common Stock | SSaleDisposed | −89,889,464 | $12.00F1 | −$1,078,673,568 | 0 | Indirect | Duplicate filing |
| Mar 10, 2023 | Class A Common Stock | SSaleDisposed | −9,995,784 | $12.00F1 | −$119,949,408 | 0 | Indirect | Duplicate filing |
| Mar 10, 2023 | Class A Common Stock | SSaleDisposed | −4,216 | $12.00F1 | −$50,592 | 0 | Indirect | Duplicate filing |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The Issuer was acquired by NRG Energy, Inc. ("NRG") pursuant to an Agreement and Plan of Merger dated as of December 6, 2022, pursuant to which each share of Class A Common Stock (other than shares held by the Issuer, NRG or any of their respective wholly-owned subsidiaries and shares owned by stockholders who have properly made and not withdrawn or lost a demand for appraisal rights) was converted into the right to receive $12.00 in cash.
Referenced by the price of 3 transactions in Table I.
Remarks
Form 2 of 2.