# EDGAR Filing Document

**Accession Number:** 0001713952
**File Stem:** 0000899243-23-007058
**Filing Date:** 2023-3
**Character Count:** 8512
**Document Hash:** 9e54b782b13ddc85cdaf2d60c3ffa588
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000899243-23-007058.hdr.sgml**: 20230303

**ACCESSION NUMBER**: 0000899243-23-007058

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230301

**FILED AS OF DATE**: 20230303

**DATE AS OF CHANGE**: 20230303

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Santiago Todd M
- **CENTRAL INDEX KEY:** 0001798303

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38246
- **FILM NUMBER:** 23706801

**MAIL ADDRESS:**
- **STREET 1:** C/O VIVINT SMART HOME, INC.
- **STREET 2:** 4931 NORTH 300 WEST
- **CITY:** PROVO
- **STATE:** UT
- **ZIP:** 84604
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Vivint Smart Home, Inc.
- **CENTRAL INDEX KEY:** 0001713952
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-DETECTIVE, GUARD & ARMORED CAR SERVICES [7381]
- **IRS NUMBER:** 981380306
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 4931 NORTH 300 WEST
- **CITY:** PROVO
- **STATE:** UT
- **ZIP:** 84604
- **BUSINESS PHONE:** (801) 705-8011

**MAIL ADDRESS:**
- **STREET 1:** 4931 NORTH 300 WEST
- **CITY:** PROVO
- **STATE:** UT
- **ZIP:** 84604

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Mosaic Acquisition Corp.
- **DATE OF NAME CHANGE:** 20170804

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Santiago Todd M<br><sub>(Last) (First) (Middle)</sub><br>C/O VIVINT SMART HOME, INC.<br>4931 NORTH 300 WEST<br><sub>(Street)</sub><br>PROVO, UT 84604<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-01 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Revenue Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Vivint Smart Home, Inc. [ VVNT ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Class A Common Stock | 2023-03-01 |  | M |  | 27253 | A | <sup>(4)</sup> | 830909 | D |  |
| Class A Common Stock | 2023-03-01 |  | A<sup>(2)</sup> |  | 49107 | A | $0.00 | 880016 | D |  |
| Class A Common Stock | 2023-03-01 |  | M |  | 27253 | A | <sup>(4)</sup> | 907269 | D |  |
| Class A Common Stock | 2023-03-01 |  | M |  | 49108 | A | <sup>(4)</sup> | 956377 | D |  |
| Class A Common Stock | 2023-03-01 |  | F<sup>(3)</sup> |  | 67504 | D | $11.91 | 888873 | D |  |
| Class A Common Stock |  |  |  |  |  |  |  | 213985 | I | See Footnote<sup>(5)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Restricted Stock Units | <sup>(4)</sup> | 2023-03-01 |  | M<sup>(1)</sup> |  |  | 27253 | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 27253 | $0.00 | 54506 | D |  |
| Restricted Stock Units | <sup>(4)</sup> | 2023-03-01 |  | A<sup>(2)</sup> |  | 147321 |  | <sup>(2)</sup> | <sup>(2)</sup> | Class A Common Stock | 147321 | $0.00 | 147321 | D |  |
| Restricted Stock Units | <sup>(4)</sup> | 2023-03-01 |  | M<sup>(6)</sup> |  |  | 27253 | <sup>(6)</sup> | <sup>(6)</sup> | Class A Common Stock | 27253 | $0.00 | 54506 | D |  |
| Restricted Stock Units | <sup>(4)</sup> | 2023-03-01 |  | M<sup>(7)</sup> |  |  | 49108 | <sup>(7)</sup> | <sup>(7)</sup> | Class A Common Stock | 49108 | $0.00 | 147321 | D |  |

---

### Footnotes:

(1) Reflects performance-based restricted stock units previously granted to the Reporting Person, the performance of which was certified on March 1, 2022. Of the performance-based restricted stock units deemed acquired on March 1, 2022, 25% vested immediately and the remaining 75% vest in three equal annual installments beginning on March 1, 2023.

(2) Reflects performance-based restricted stock units previously granted to the Reporting Person, which were certified at target-level performance on March 1, 2023. Of these units, 25% vested immediately and the remaining 75% vest in three equal annual installments beginning on March 1, 2024. Therefore, upon certification of the award, the Reporting Person received 49,107 shares of Class A Common Stock and will receive 147,321 shares (or the cash-equivalent thereof) in three equal annual installments beginning on March 1, 2024.

(3) Reflects shares of Class A Common Stock withheld to cover the Reporting Person's tax liability in connection with the vesting of restricted stock units and performance-based restricted stock units.

(4) 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.

(5) Reflects securities held by a trust for the benefit of the Reporting Person's family of which the Reporting Person is a trustee.

(6) On March 26, 2021, the Reporting Person was granted 109,012 restricted stock units that vest in four equal annual installments beginning on March 1, 2022.

(7) On March 23, 2022, the Reporting Person was granted 196,429 restricted stock units that vest in four equal annual installments beginning on March 1, 2023.

**Signature:** /s/ Garner B. Meads, III, as Attorney-in-Fact  
**Date:** 2023-03-03

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**