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| CIK | 1713952 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Mosaic Acquisition Corp.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| March 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-38246 VIVINT SMART HOME, INC. (Exact name of registrant as specified in |
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| March 14, 2023 |
VVNT / Vivint Smart Home Inc - Class A / Blackstone Holdings III L.P. - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* Vivint Smart Home, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 928542109 (CUSIP Number) John G. Finley Blackstone Inc. 345 Park Avenue New York, New York 10154 Tel: (212) 583-5000 (Name, Address and Telephone Number |
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| March 10, 2023 |
As filed with the Securities and Exchange Commission on March 10, 2023. S-8 POS As filed with the Securities and Exchange Commission on March 10, 2023. Registration No. 333-233911 Registration No. 333-237365 Registration No. 333-253740 Registration No. 333-264778 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 5 TO FORM S-4 REGISTRATION STATEMENT NO. 333-233911 ON FORM S-8 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 |
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| March 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2023 VIVINT SMART HOME, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission |
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| March 10, 2023 |
As filed with the Securities and Exchange Commission on March 10, 2023. S-8 POS As filed with the Securities and Exchange Commission on March 10, 2023. Registration No. 333-233911 Registration No. 333-237365 Registration No. 333-253740 Registration No. 333-264778 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 5 TO FORM S-4 REGISTRATION STATEMENT NO. 333-233911 ON FORM S-8 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 |
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| March 10, 2023 |
As filed with the Securities and Exchange Commission on March 10, 2023. POS AM As filed with the Securities and Exchange Commission on March 10, 2023. Registration No. 333-252648 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 VIVINT SMART HOME, INC. (Exact name of Registrant as specified in its charter) Delaware 98-1380306 (State or other jurisdi |
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| March 10, 2023 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on March 21, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
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| March 10, 2023 |
Bylaws of Vivint Smart Home, Inc. EX-3.2 Exhibit 3.2 BY-LAWS OF VIVINT SMART HOME, INC. (the “Corporation”) ARTICLE I STOCKHOLDERS Section 1.1 Annual Meeting. The annual meeting of the stockholders of the Corporation (the “Stockholders”) shall be held either within or without the State of Delaware, at such place as the Board of Directors of the Corporation (the “Board of Directors”) may designate in the call or in a waiver of noti |
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| March 10, 2023 |
Amended and Restated Certificate of Incorporation of Vivint Smart Home, Inc. EX-3.1 Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF VIVINT SMART HOME, INC. Vivint Smart Home, Inc. (the “Corporation”), a corporation organized and existing under and by virtue of the provisions of the General Corporation Law of the State of Delaware, as it now exists or may hereafter be amended and supplemented (the “DGCL”), does hereby certify: FIRST: The name of this corpor |
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| March 10, 2023 |
As filed with the Securities and Exchange Commission on March 10, 2023. S-8 POS As filed with the Securities and Exchange Commission on March 10, 2023. Registration No. 333-233911 Registration No. 333-237365 Registration No. 333-253740 Registration No. 333-264778 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 5 TO FORM S-4 REGISTRATION STATEMENT NO. 333-233911 ON FORM S-8 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 |
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| March 10, 2023 |
As filed with the Securities and Exchange Commission on March 10, 2023. S-8 POS As filed with the Securities and Exchange Commission on March 10, 2023. Registration No. 333-233911 Registration No. 333-237365 Registration No. 333-253740 Registration No. 333-264778 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 5 TO FORM S-4 REGISTRATION STATEMENT NO. 333-233911 ON FORM S-8 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 |
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| February 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2023 VIVINT SMART HOME, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commissi |
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| February 24, 2023 |
Employment Agreement, dated May 15, 2022, between Vivint Smart Home, Inc. and Dana Russell. Exhibit 10.43 EMPLOYMENT AGREEMENT (Dana Russell) EMPLOYMENT AGREEMENT (the “Agreement”) dated May 15, 2022 (the “Effective Date”) by and between Vivint Smart Home, Inc., a Delaware corporation (the “Company”) and Dana C. Russell (“Executive”). WHEREAS, the Company desires for one or more of the Company or its subsidiaries to employ Executive and Executive desires to be employed in such capacities |
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| February 24, 2023 |
Exhibit 4.9 SECOND SUPPLEMENTAL INDENTURE Second Supplemental Indenture (this “Supplemental Indenture”), dated as of May 13, 2020 among Vivint Amigo, Inc., a Delaware corporation and Vivint Warranty and Home Insurance, LLC, a Delaware limited liability company (the “Guaranteeing Subsidiaries”), each a subsidiary of APX Group, Inc., a Delaware corporation (the “Issuer”), and Wilmington Trust, Natio |
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| February 24, 2023 |
Execution Version Exhibit 10.40 AMENDED AND RESTATED EMPLOYMENT AGREEMENT (Daniel Garen) AMENDED AND RESTATED EMPLOYMENT AGREEMENT (the “Agreement”) dated June 20, 2022 (the “Effective Date”) by and between Vivint Smart Home, Inc., a Delaware corporation (the “Company”) and Daniel Garen (“Executive”). WHEREAS, the Company and Executive previously entered into an employment agreement, dated as of J |
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| February 24, 2023 |
Employment Agreement, dated June 20, 2022, between Vivint Smart Home, Inc. and Garner B. Meads. Exhibit. 10.42 EMPLOYMENT AGREEMENT (Garner B. Meads) EMPLOYMENT AGREEMENT (the “Agreement”) dated June 20, 2022 (the “Effective Date”) by and between Vivint Smart Home, Inc., a Delaware corporation (the “Company”) and Garner B. Meads, III (“Executive”). WHEREAS, the Company desires for one or more of the Company or its subsidiaries to continue to employ Executive and Executive desires to continue |
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| February 24, 2023 |
Retention Letter, dated December 6, 2022, between Vivint Smart Home, Inc. and Todd Santiago. EXECUTION Exhibit 10.46 December 6, 2022 Todd Santiago (“you” or “Executive”) RE: Side Letter Agreement Regarding Certain Terms of Employment Dear Todd: As you are aware, Vivint Smart Home, Inc. (the “Company”) has entered into a merger agreement (the “Merger Agreement”) with NRG Energy, Inc. (“Parent”) and the other parties enumerated therein, dated as of the date hereof, pursuant to which the Co |
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| February 24, 2023 |
Exhibit 4.16 AMENDMENT OF WARRANT AGREEMENT THIS AMENDMENT OF WARRANT AGREEMENT (this “Agreement”), made as of September 8, 2022, is made by and among Vivint Smart Home, Inc. (f/k/a Mosaic Acquisition Corp.) a Delaware corporation (“Vivint”), Continental Stock Transfer & Trust Company, a New York corporation, as warrant agent (“Continental”), and American Stock Transfer & Trust Company, a New York |
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| February 24, 2023 |
Subsidiaries of Vivint Smart Home, Inc. Exhibit 21.1 Subsidiaries of Vivint Smart Home, Inc. Name Jurisdiction of Incorporation / Organization 313 Aviation, LLC Utah Smart Home Pros, Inc. Utah Vivint, Inc. Utah Vivint Purchasing, LLC Utah AP AL LLC Delaware APX Group Holdings, Inc. Delaware APX Group, Inc. Delaware IPR LLC Delaware Farmington IP LLC Delaware Legacy Vivint Smart Home, Inc. Delaware Space Monkey, LLC Delaware Vivint Amigo |
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| February 24, 2023 |
Exhibit 10.50 Execution Version December 28, 2022 Rasesh Patel RE: Acceleration of Payments Dear Rasesh: As you are aware, Vivint Smart Home, Inc., (the “Company”) has entered into an Agreement and Plan of Merger dated December 6, 2022 (the “Merger Agreement”) with NRG Energy, Inc. (“Parent”) and the other parties enumerated therein, pursuant to which the Company will become a wholly owned subsidi |
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| February 24, 2023 |
Exhibit 10.51 Execution Version December 28, 2022 Garner B. Meads, III RE: Acceleration of Payments Dear Garner: As you are aware, Vivint Smart Home, Inc., (the “Company”) has entered into an Agreement and Plan of Merger dated December 6, 2022 (the “Merger Agreement”) with NRG Energy, Inc. (“Parent”) and the other parties enumerated therein, pursuant to which the Company will become a wholly owned |
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| February 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-382 |
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| February 24, 2023 |
Retention Letter, dated December 6, 2022, between Vivint Smart Home, Inc. and Daniel Garen. EXECUTION Exhibit 10.47 December 6, 2022 Daniel Garen (“you” or “Executive”) RE: Side Letter Agreement Regarding Certain Terms of Employment Dear Dan: As you are aware, Vivint Smart Home, Inc. (the “Company”) has entered into a merger agreement (the “Merger Agreement”) with NRG Energy, Inc. (“Parent”) and the other parties enumerated therein, dated as of the date hereof, pursuant to which the Comp |
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| February 24, 2023 |
Retention letter, dated December 6, 2022, between Vivint Smart Home, Inc. and Rasesh Patel. EXECUTION Exhibit 10.45 December 6, 2022 Rasesh Patel (“you” or “Executive”) RE: Side Letter Agreement Regarding Certain Terms of Employment Dear Rasesh: As you are aware, Vivint Smart Home, Inc. (the “Company”) has entered into a merger agreement (the “Merger Agreement”) with NRG Energy, Inc. (“Parent”) and the other parties enumerated therein, dated as of the date hereof, pursuant to which the C |
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| February 24, 2023 |
Exhibit 10.49 Execution Version December 28, 2022 Daniel Garen RE: Acceleration of Payments Dear Daniel: As you are aware, Vivint Smart Home, Inc., (the “Company”) has entered into an Agreement and Plan of Merger dated December 6, 2022 (the “Merger Agreement”) with NRG Energy, Inc. (“Parent”) and the other parties enumerated therein, pursuant to which the Company will become a wholly owned subsidi |
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| February 24, 2023 |
Exhibit 10.48 Execution Version December 28, 2022 Dana Russell RE: Acceleration of Payments Dear Dana: As you are aware, Vivint Smart Home, Inc., (the “Company”) has entered into an Agreement and Plan of Merger dated December 6, 2022 (the “Merger Agreement”) with NRG Energy, Inc. (“Parent”) and the other parties enumerated therein, pursuant to which the Company will become a wholly owned subsidiar |
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| February 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 21, 2023 VIVINT SMART HOME, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commissi |
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| February 14, 2023 |
Exhibit 99.1 IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE IN RE VIVINT SMART HOME, INC. ) C.A. No. 2023- ) VERIFIED PETITION FOR RELIEF PURSUANT TO 8 DEL. C. § 205 Petitioner Vivint Smart Home, Inc. (f/k/a Mosaic Acquisition Corp.) (“Vivint” or the “Company”), by and through its undersigned counsel, brings this petition pursuant to 8 Del. C. § 205, seeking to have this Court validate a potent |
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| February 14, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2023 VIVINT SMART HOME, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commissi |
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| February 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 9, 2023 VIVINT SMART HOME, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commissio |
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| February 7, 2023 |
VVNT / Vivint Smart Home, Inc. Class A / Solamere V Investment, LLC - SC 13G/A Passive Investment SC 13G/A 1 d421120dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2)* Vivint Smart Home, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 928542109 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the Appropriate |
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| January 20, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☐ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ☒ Definitive Information Statement VIVINT SMART HOME, |
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| January 9, 2023 |
Exhibit 107 CALCULATION OF FILING FEE TABLES Schedule 14C (Form Type) VIVINT SMART HOME, INC. |
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| January 9, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☒ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ☐ Definitive Information Statement VIVINT SMART HOME, |
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| December 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 28, 2022 VIVINT SMART HOME, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commissi |
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| December 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 6, 2022 VIVINT SMART HOME, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commissio |
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| December 7, 2022 |
EXHIBIT 99.13 Execution Version VOTING AND SUPPORT AGREEMENT This Voting and Support Agreement (this ?Agreement?), dated as of December 6, 2022, is entered into by and among NRG Energy, Inc., a Delaware corporation (?Parent?), Fortress Mosaic Sponsor LLC, a Delaware limited liability company, Fortress Mosaic Investor LLC, a Delaware limited liability company, and Fortress Mosaic Anchor LLC, a Dela |
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| December 7, 2022 |
VVNT / Vivint Smart Home, Inc. Class A / Fortress Investment Group LLC Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 5)* Under the Securities Exchange Act of 1934 VIVINT SMART HOME, INC. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 928542109 (CUSIP Number) David N. Brooks Fortress Investment Group LLC 1345 Avenue of the Americas, 46th Floor New York, NY 10105 (2 |
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| December 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 6, 2022 VIVINT SMART HOME, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commissio |
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| December 6, 2022 |
Amendment No. 5 to Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* Vivint Smart Home, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 928542109 (CUSIP Number) John G. Finley Blackstone Inc. 345 Park Avenue New York, New York 10154 Tel: (212) 583-5000 (Name, Addre |
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| December 6, 2022 |
Exhibit 2.1 AGREEMENT AND PLAN OF MERGER by and among VIVINT SMART HOME, INC., NRG ENERGY, INC., and JETSON MERGER SUB, INC. Dated as of December 6, 2022 TABLE OF CONTENTS Page ARTICLE I THE MERGER 1 SECTION 1.1 The Merger 1 SECTION 1.2 Closing 2 SECTION 1.3 Effective Time 2 SECTION 1.4 Certificate of Incorporation; Bylaws 2 SECTION 1.5 Directors and Officers 2 ARTICLE II EFFECT OF THE MERGER ON T |
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| December 6, 2022 |
Exhibit 99.1 PRESS RELEASE NRG Energy, Inc. to Acquire Vivint Smart Home, Inc. Acquisition Positions NRG as the Leading Essential Home Services Provider, Accelerating Growth Plan HOUSTON, TX & PROVO, UT ? (BUSINESS WIRE) ? Dec. 6, 2022 ? NRG Energy, Inc. (NYSE: NRG) and Vivint Smart Home, Inc. (NYSE: VVNT) today announced they have entered into a definitive agreement under which NRG will acquire V |
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| November 9, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-38246 |
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| November 8, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): November 8, 2022 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission F |
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| November 8, 2022 |
Exhibit 99.1 Vivint Smart Home Announces Third Quarter 2022 Results Revenue grew by nearly 14% (more than 18% after normalizing for Canadian divestiture), driven by strong growth in total subscribers, an all-time high in average monthly recurring revenue per user, and significant contribution from Smart Energy offering Operating metrics continue to perform near record levels, with attrition at 11. |
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| November 3, 2022 |
801.229.7679 4949 N 300 W Provo, UT 84604 vivint.com November 3, 2022 Re:??Vivint Smart Home, Inc. Form 10-K for the Fiscal Year Ended December 31, 2021 Filed March 1, 2022 File No. 001-38246 VIA EDGAR Ms. Aamira Chaudhry Division of Corporation Finance U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Ms. Chaudhry: On behalf of Vivint Smart Home Inc. (?Vivint?), we |
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| October 4, 2022 |
801.229.7679 4949 N 300 W Provo, UT 84604 vivint.com October 4, 2022 Re: Vivint Smart Home, Inc. Form 10-K for the Fiscal Year Ended December 31, 2021 Filed March 1, 2022 File No. 001-38246 VIA EDGAR Aamira Chaudhry Theresa Brillant Division of Corporation Finance U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Ms. Chaudhry and Ms. Brillant: On behalf of Vivint Sm |
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| August 9, 2022 |
Consulting Services Agreement, dated June 3, 2022, between Vivint Smart Home, Inc. and JT Hwang Exhibit 10.2 Execution Version CONSULTING SERVICES AGREEMENT THIS CONSULTING AGREEMENT (this ?Agreement?) is made as of June 3, 2022, by and between Jungtaik Hwang, an individual (?Executive?) and Vivint Smart Home, Inc., a Delaware corporation (the ?Company? and together with its subsidiaries and affiliates as of the date hereof, the ?Company Group?). In consideration of the payments and benefits |
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| August 9, 2022 |
Exhibit 10.6 SIXTH AMENDMENT TO SECOND AMENDED & RESTATED CONSUMER FINANCING SERVICES AGREEMENT Effective Date: March 11, 2022 WHEREAS, APX Group, Inc. (?Vivint? or ?Company?) and Citizens Bank, N.A. (?Citizens? or ?Supplier?, and together with Vivint, the ?Parties?) entered into that certain Second Amended and Restated Consumer Financing Services Agreement dated as of May 31, 2017 (as amended, th |
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| August 9, 2022 |
Exhibit 4.1 Execution Version THIRD SUPPLEMENTAL INDENTURE Third Supplemental Indenture (this ?Supplemental Indenture?), dated as of June 29, 2022, among VI Administrative Services, LLC, Vivint VI Holdings, LLC and Vivint Insurance Services, LLC (collectively, the ?Guaranteeing Subsidiaries?), each a subsidiary of APX Group, Inc., a Delaware corporation (the ?Issuer?), and Wilmington Trust, Nation |
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| August 9, 2022 |
Exhibit 10.4 Execution Version AMENDED AND RESTATED EMPLOYMENT AGREEMENT (Todd Santiago) AMENDED AND RESTATED EMPLOYMENT AGREEMENT (the ?Agreement?) dated June 20, 2022 (the ?Effective Date?) by and among Vivint Smart Home, Inc., a Delaware corporation (the ?Company?), and Todd Santiago (?Executive?). WHEREAS, the Company and Executive previously entered into an employment agreement, dated as of M |
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| August 9, 2022 |
Exhibit 10.7 CERTAIN INFORMATION, IDENTIFIED BY, AND REPLACED WITH, A MARK OF ?[*]? HAS BEEN EXCLUDED FROM THIS DOCUMENT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. SEVENTH AMENDMENT TO SECOND AMENDED & RESTATED CONSUMER FINANCING SERVICES AGREEMENT Effective Date: June 15, 2022 This SEVENTH AMENDMENT TO THE SECOND AMENDED AND RES |
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| August 9, 2022 |
Exhibit 10.5 Execution Version AMENDED AND RESTATED EMPLOYMENT AGREEMENT (Rasesh Patel) AMENDED AND RESTATED EMPLOYMENT AGREEMENT (the ?Agreement?) dated June 20, 2022 (the ?Effective Date?) by and between Vivint Smart Home, Inc., a Delaware corporation (the ?Company?) and Rasesh Patel (?Executive?). WHEREAS, the Company and Executive previously entered into an employment agreement, dated as of Ap |
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| August 9, 2022 |
Exhibit 4.2 Execution Version FIRST SUPPLEMENTAL INDENTURE First Supplemental Indenture (this ?Supplemental Indenture?), dated as of June 29, 2022, among VI Administrative Services, LLC, Vivint VI Holdings, LLC and Vivint Insurance Services, LLC (collectively, the ?Guaranteeing Subsidiaries?), each a subsidiary of APX Group, Inc. (the ?Issuer?), and Wilmington Trust, National Association, a nation |
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| August 9, 2022 |
Exhibit 10.3 Execution Version AMENDED AND RESTATED EMPLOYMENT AGREEMENT (Daniel Garen) AMENDED AND RESTATED EMPLOYMENT AGREEMENT (the ?Agreement?) dated June 20, 2021 (the ?Effective Date?) by and between Vivint Smart Home, Inc., a Delaware corporation (the ?Company?) and Daniel Garen (?Executive?). WHEREAS, the Company and Executive previously entered into an employment agreement, dated as of Ju |
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| August 9, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-38246 Vivi |
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| August 8, 2022 |
Exhibit 99.1 Vivint Smart Home Announces Second Quarter 2022 Results Revenue grew by 15% as attrition reached 17-quarter low of 10.9% and service cost per subscriber reached all-time low Adjusted for the divestiture of Canadian operations, revenue growth was 17.5% and attrition was 10.7% Provo, UT ? August 8, 2022 ? Vivint Smart Home, Inc. (NYSE: VVNT), a leading smart home company, today announce |
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| August 8, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): August 8, 2022 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| June 24, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): June 20, 2022 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission File |
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| June 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): June 8, 2022 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission File |
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| June 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): June 1, 2022 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission File |
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| June 6, 2022 |
VVNT / Vivint Smart Home, Inc. Class A / Fortress Investment Group LLC Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 4)* Under the Securities Exchange Act of 1934 VIVINT SMART HOME, INC. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 928542109 (CUSIP Number) David N. Brooks Fortress Investment Group LLC 1345 Avenue of the Americas, 46th Floor New York, NY 10105 (2 |
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| May 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): May 10, 2022 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission File |
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| May 16, 2022 |
Exhibit 99.1 Vivint Smart Home Announces the Departure of Dale R. Gerard and the Appointment of Dana Russell as Chief Financial Officer ? Mr. Gerard will be departing Vivint after a notable 12-year career to pursue an opportunity with a company outside of the smart home industry ? Mr. Gerard will be succeeded by Mr. Russell, a financial executive with 25 years of experience and former chief financ |
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| May 9, 2022 |
As filed with the Securities and Exchange Commission on May 6, 2022. As filed with the Securities and Exchange Commission on May 6, 2022. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 98-1380306 (State or other jurisdiction of incorporation or organization) (I.R.S. Em |
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| May 9, 2022 |
Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Vivint Smart Home, Inc. |
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| May 4, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-38246 Viv |
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| May 3, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): May 3, 2022 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| May 3, 2022 |
Exhibit 99.1 Vivint Announces First Quarter 2022 Results Revenue grew ~15% as company reported record 66,734 new subscribers and 15-quarter-low attrition of 11.2% Provo, UT ? May 3, 2022 ? Vivint Smart Home, Inc. (NYSE: VVNT), a leading smart home company, today announced results for the first quarter ended March 31, 2022. ?Our strong track record of execution as a public company continued through |
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| April 21, 2022 |
Vivint Smart Home Taps AT&T Executive, Rasesh Patel, as Chief Operating Officer Exhibit 99.1 Vivint Smart Home Taps AT&T Executive, Rasesh Patel, as Chief Operating Officer ? Patel joins Vivint after having served as Chief Product and Platform Officer for AT&T Business ? He brings a wealth of experience to Vivint ranging from sales, distribution, operations, customer experience, and product management PROVO, Utah ? April 20th, 2022- Vivint Smart Home, Inc. (NYSE: VVNT), a lea |
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| April 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): April 15, 2022 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| April 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): April 14, 2022 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| April 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| April 15, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| April 15, 2022 |
Separation Agreement, dated April 14, 2022, between Vivint Smart Home, Inc. and Todd R. Pedersen Exhibit 10.1 SEPARATION AGREEMENT THIS SEPARATION AGREEMENT (this ?Agreement?) is made as of April 14, 2022 by and between Todd R. Pedersen, an individual (?Executive?), Vivint Smart Home, Inc., a Delaware corporation (the ?Company? and together with its subsidiaries and affiliates as of the date hereof, the ?Company Group?). In consideration of the payments and benefits described in Sections 2(a) |
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| March 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): March 23, 2022 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| March 7, 2022 |
EXHIBIT A JOINT FILING AGREEMENT This will confirm the agreement by and among the undersigned that the Schedule 13G filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial ownership by the undersigned of the shares of Class A Common Stock, par value $0. |
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| March 7, 2022 |
VVNT / Vivint Smart Home, Inc. Class A / Pedersen Family Trust - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* Vivint Smart Home, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 928542109 (CUSIP Number) February 24, 2022 (Date of Event Which Requires Filing of this Statement) Check the Appropriate Box to Desig |
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| March 1, 2022 |
Exhibit 10.4 AMENDED AND RESTATED SECURITY AGREEMENT dated as of July 9, 2021 among THE GRANTORS IDENTIFIED HEREIN and BANK of AMERICA, N.A., as Administrative Agent Reference is made to the Intercreditor and Collateral Agency Agreement, dated as of November 16, 2012, among APX Group, Inc., a Delaware corporation, the other grantors party thereto, Bank of America, N.A., in its capacity as collater |
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| March 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-382 |
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| March 1, 2022 |
Exhibit 10.38 FIFTH AMENDMENT TO SECOND AMENDED & RESTATED CONSUMER FINANCING SERVICES AGREEMENT Effective Date: January 25, 2022 WHEREAS, APX Group, Inc. (?Vivint? or ?Company?) and Citizens Bank, N.A. (?Citizens? or ?Supplier?, and together with Vivint, the ?Parties?) entered into that certain Second Amended and Restated Consumer Financing Services Agreement dated as of May 31, 2017 (as amended, |
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| March 1, 2022 |
, 2022, between Vivint Smart Home, Inc. Exhibit 10.43 EMPLOYMENT AGREEMENT (Daniel Garen) EMPLOYMENT AGREEMENT (the ?Agreement?) dated July 22, 2021 (the ?Effective Date?) by and between Vivint Smart Home, Inc., a Delaware corporation (the ?Company?) and Daniel Garen (?Executive?). WHEREAS, the Company desires for one or more of the Company or its subsidiaries to employ Executive and Executive desires to be employed in such capacities, |
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| March 1, 2022 |
Description of the Securities of Vivint Smart Home, Inc. as of December 31, 2021. Exhibit 4.13 VIVINT SMART HOME, INC. DESCRIPTION OF SECURITIES REGISTERED UNDER SECTION 12 OF THE EXCHANGE ACT The following is a brief description of the material terms of the Class A common stock, $0.0001 par value per share (the ?Class A common Stock?) of Vivint Smart Home, Inc., a Delaware corporation, which is the only security of the Company registered pursuant to Section 12 of the Securitie |
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| March 1, 2022 |
Exhibit 10.42 AMENDED AND RESTATED EMPLOYMENT AGREEMENT (David Bywater) AMENDED AND RESTATED EMPLOYMENT AGREEMENT (the ?Agreement?) dated February 27, 2022 (the ?Effective Date?) by and among Vivint Smart Home, Inc., a Delaware corporation (the ?Company?) and David Bywater (?Executive?). WHEREAS, the Company and Executive previously entered into an employment agreement, dated as of June 6, 2021, t |
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| March 1, 2022 |
Subsidiaries of Vivint Smart Home, Inc. Exhibit 21.1 Subsidiaries of Vivint Smart Home, Inc. Name Jurisdiction of Incorporation / Organization 313 Aviation, LLC Utah Smart Home Pros, Inc. Utah Vivint, Inc. Utah Vivint Purchasing, LLC Utah AP AL LLC Delaware APX Group Holdings, Inc. Delaware APX Group, Inc. Delaware IPR LLC Delaware Farmington IP LLC Delaware Legacy Vivint Smart Home, Inc. Delaware Space Monkey, LLC Delaware Vivint Amigo |
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| February 25, 2022 |
Amendment No. 4 to Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Vivint Smart Home, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 928542109 (CUSIP Number) Jonathan Ozner, Esq. Simpson Thacher & Bartlett LLP 425 Lexington Avenue New York, New York 10017 (212) |
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| February 24, 2022 |
Exhibit 99.1 Vivint Announces Fourth Quarter and Full Year 2021 Results Originated record 360,509 new subscribers as revenue grew 18% and attrition reached 14-quarter low of 11.3% Provo, UT ? February 24, 2022 ? Vivint Smart Home, Inc. (NYSE: VVNT), a leading smart home company, today announced results for the fourth quarter and full year ended December 31, 2021. ?Last year was extraordinary for V |
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| February 24, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): February 24, 2022 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission |
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| February 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): February 13, 2022 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission |
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| February 14, 2022 |
VVNT / Vivint Smart Home, Inc. Class A / Solamere V Investment, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No.1)* VIVINT SMART HOME, INC. (Name of Issuer) Class A common stock (Title of Class of Securities) 928542109 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the Appropriate Box to Designate the Rule Pursuant to W |
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| February 14, 2022 |
VVNT / Vivint Smart Home, Inc. Class A / Fayerweather Fund Eiger, L.P. - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* VIVINT SMART HOME, INC. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 928542109 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| November 15, 2021 |
Exhibit 99.1 Vivint Smart Home Announces Third Quarter 2021 Results Revenue increased by over 21% as the company grew Total Subscribers in the portfolio by more than 155,000 Attrition declined by 140 basis points year over year to 11.4%, a 13-quarter low Provo, UT ? November 15, 2021 ? Vivint Smart Home, Inc. (NYSE: VVNT), a leading smart home company, today announced results for the three and nin |
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| November 15, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-38246 |
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| November 15, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): November 15, 2021 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission |
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| November 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 001-38246 CUSIP Number: 928542109 (Check One): ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-CEN ? Form N-CSR For Period Ended: September 30, 2021 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Report on Form 10-Q For the Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| August 4, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-38246 Vivi |
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| August 4, 2021 |
Exhibit 10.1 FOURTH AMENDMENT TO SECOND AMENDED & RESTATED CONSUMER FINANCING SERVICES AGREEMENT Effective Date: March 31, 2021 WHEREAS, APX Group, Inc. (?Vivint? or ?Company?) and Citizens Bank, N.A. (?Citizens? or ?Supplier?, and together with Vivint, the ?Parties?) entered into that certain Second Amended and Restated Consumer Financing Services Agreement dated as of May 31, 2017 (as amended, t |
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| August 3, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): August 3, 2021 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| August 3, 2021 |
Exhibit 99.1 Vivint Smart Home Announces Second Quarter 2021 Financial Results Revenue grew by 17% as the company added over 121,000 new subscribers, an all-time record for the second quarter Attrition declined by 210 basis points year over year to a 12-quarter low of 11.6% Provo, UT ? August 3, 2021 ? Vivint Smart Home, Inc. (NYSE: VVNT), a leading smart home company, today announced financial re |
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| July 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): July 13, 2021 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission File |
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| July 15, 2021 |
Exhibit 99.1 Vivint Smart Home Announces Appointment of The Honorable Barbara Comstock to Board of Directors Former U.S. Congresswoman brings deep experience in science, technology and infrastructure to Vivint?s Board PROVO, Utah ? July 15, 2021- Vivint Smart Home, Inc. (NYSE: VVNT), a leading smart home company, today announced the appointment of former Congresswoman Barbara Comstock to its Board |
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| July 12, 2021 |
Exhibit 10.2 EXECUTION VERSION SECOND AMENDED AND RESTATED CREDIT AGREEMENT Dated as of July 9, 2021, among APX GROUP HOLDINGS, INC., as Holdings, APX GROUP, INC., as the Borrower, THE GUARANTORS PARTY HERETO FROM TIME TO TIME, BANK OF AMERICA, N.A., as Administrative Agent, Swing Line Lender and an L/C Issuer, THE LENDERS AND L/C ISSUERS PARTY HERETO FROM TIME TO TIME, BOFA SECURITIES, INC., CRED |
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| July 12, 2021 |
Vivint Smart Home Successfully Completes Refinancing Transactions Exhibit 99.1 Vivint Smart Home Successfully Completes Refinancing Transactions PROVO, UT?July 12, 2021?Vivint Smart Home, Inc. (NYSE: VVNT) (together with its subsidiaries, ?Vivint? or the ?Company?) today announced that APX Group, Inc. (the ?Issuer?), an indirect, wholly owned subsidiary of the Company, completed its offering of $800.0 million aggregate principal amount of 5.75% senior notes due |
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| July 12, 2021 |
Exhibit 10.1 Execution Version INDENTURE Dated as of July 9, 2021 Between APX GROUP, INC., as the Issuer, and the Guarantors from time to time party hereto, and WILMINGTON TRUST, NATIONAL ASSOCIATION, as Trustee, Paying Agent, Transfer Agent and Registrar $800,000,000 5.75% SENIOR NOTES DUE 2029 TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS AND INCORPORATION BY REFERENCE Section 1.01. Definitions 1 |
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| July 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): July 9, 2021 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission File |
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| July 1, 2021 |
Exhibit 99.1 Vivint Announces Intention to Offer New Senior Notes Provo, UT ? June 28, 2021 ? Vivint Smart Home, Inc. (the ?Company?), announced that its wholly owned subsidiary, APX Group, Inc. (the ?Issuer?), intends, subject to market and other conditions, to offer $900.0 million aggregate principal amount of Senior Notes due 2029 (the ?Notes?) in a private placement. The Issuer intends to use |
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| July 1, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): June 28, 2021 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission File |
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| July 1, 2021 |
Vivint Announces Pricing of its Offering of New Senior Notes Exhibit 99.2 Vivint Announces Pricing of its Offering of New Senior Notes Provo, UT ? July 1, 2021 ? Vivint Smart Home, Inc. (the ?Company?) today announced that its wholly owned subsidiary, APX Group, Inc., priced its offering of $800.0 million aggregate principal amount of senior notes (the ?Notes?) in a private placement. The Notes will bear interest at 5.75% per annum and are due in 2029. The |
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| June 30, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): June 30, 2021 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission File |
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| June 30, 2021 |
Vivint Issues Statement on ADT Patent Infringement Lawsuit Exhibit 99.1 Vivint Issues Statement on ADT Patent Infringement Lawsuit Provo, UT ? June 30, 2021 ? On June 29, 2021, ADT filed a complaint against Vivint, a leading smart home company, in the U.S. District Court for the Western District of Texas and a companion case with the U.S. International Trade Commission claiming that Vivint infringed two ADT patents. Vivint believes the claims asserted are |
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| June 24, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): June 24, 2021 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission File |
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| June 24, 2021 |
Exhibit 99.1 Vivint Smart Home, Inc. Lender Presentation June 2021 1Exhibit 99.1 Vivint Smart Home, Inc. Lender Presentation June 2021 1 Forward-looking statements This presentation includes forward-looking statements as defined by the Private Securities Litigation Reform Act of 1995, including but not limited to, statements of Vivint Smart Home, Inc. (the ?Company?, ?Vivint?, ?we?, ?our?, or ?us? |
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| June 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): June 16, 2021 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission File |
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| June 21, 2021 |
Exhibit 10.1 Execution Copy TRANSITION AND CONSULTING SERVICES AGREEMENT THIS TRANSITION AND CONSULTING AGREEMENT (this ?Agreement?) is made as of June 17, 2021 by and between Shawn J. Lindquist, an individual (?Executive?) and Vivint Smart Home, Inc., a Delaware corporation (the ?Company? and together with its subsidiaries and affiliates as of the date hereof, the ?Company Group?). In considerati |
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| June 7, 2021 |
Employment Agreement, dated June 6, 2021, between Vivint Smart Home, Inc. and David Bywater Exhibit 10.1 EXECUTION VERSION EMPLOYMENT AGREEMENT (David Bywater) EMPLOYMENT AGREEMENT (the ?Agreement?) dated June 6, 2021 (the ?Effective Date?) by and among Vivint Smart Home, Inc., a Delaware corporation (the ?Company?) and David Bywater (?Executive?). WHEREAS, the Company desires for one or more of the Company or its subsidiaries to employ Executive and Executive desires to be employed; and |
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| June 7, 2021 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Vivint Smart Home Announces Appointment of David Bywater as Chief Executive Officer Seasoned Executive with 25 Years of Leadership Experience Across Consumer-Facing Technology Companies PROVO, Utah ? June 7, 2021 ? Vivint Smart Home, Inc. (NYSE: VVNT), a leading smart home company, today announced that David Bywater has been appointed chief executive officer. In |
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| June 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): June 6, 2021 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission File |
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| June 3, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): June 3, 2021 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission File |
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| May 24, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): May 23, 2021 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission File |
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| May 24, 2021 |
Vivint Smart Home Announces Leadership Transition Plan Exhibit 99.1 Vivint Smart Home Announces Leadership Transition Plan PROVO, Utah ? May 24, 2021 ? Vivint Smart Home, Inc. (NYSE:VVNT), a leading smart home company, today announced founder and Chief Executive Officer Todd R. Pedersen has decided to step down as chief executive officer of Vivint Smart Home, effective once the board of directors of the company appoints his successor. Mr. Pedersen wil |
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| May 24, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| May 14, 2021 |
Exhibit 10.3 FIRST AMENDMENT TO SECOND AMENDED & RESTATED CONSUMER FINANCING SERVICES AGREEMENT Effective Date: May 29, 2018 WHEREAS, APX Group, Inc. ("Vivint") and Citizens Bank, N.A. ("Citizens", and together with Vivint, the "Parties") entered into that certain Second Amended and Restated Consumer Financing Services Agreement as of May 31, 2017 (the "Agreement"); and WHEREAS, the Parties desire |
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| May 14, 2021 |
Exhibit 10.4 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS EXHIBIT, MARKED BY [*], HAS BEEN EXCLUDED BECAUSE VIVINT SMART HOME, INC. HAS DETERMINED THE INFORMATION (I) IS NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO VIVINT SMART HOME, INC. IF PUBLICLY DISCLOSED. SECOND AMENDMENT TO SECOND AMENDED & RESTATED CONSUMER FINANCING SERVICES AGREEMENT Effective Date: February 26, 201 |
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| May 14, 2021 |
EX-10.1 2 ex101vivintsmarthomeinc-ti.htm EX-10.1 Exhibit 10.1 FORM OF RESTRICTED STOCK UNIT GRANT NOTICE UNDER THE VIVINT SMART HOME, INC. 2020 OMNIBUS INCENTIVE PLAN (Time-Based Restricted Stock Units) Vivint Smart Home, Inc., a Delaware corporation (the “Company”), pursuant to its 2020 Omnibus Incentive Plan, as it may be amended and restated from time to time (the “Plan”), hereby grants to the |
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| May 14, 2021 |
Exhibit 10.2 FORM OF RESTRICTED STOCK UNIT GRANT NOTICE UNDER THE VIVINT SMART HOME, INC 2020 OMNIBUS INCENTIVE PLAN (Performance-Based Restricted Stock Units) Vivint Smart Home, Inc., a Delaware corporation (the ?Company?), pursuant to its 2020 Omnibus Incentive Plan, as it may be amended and restated from time to time (the ?Plan?), hereby grants to the Participant set forth below, the number of |
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| May 14, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-38246 Viv |
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| May 14, 2021 |
Exhibit 10.5 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS EXHIBIT, MARKED BY [*], HAS BEEN EXCLUDED BECAUSE VIVINT SMART HOME, INC. HAS DETERMINED THE INFORMATION (I) IS NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO VIVINT SMART HOME, INC. IF PUBLICLY DISCLOSED. THIRD AMENDMENT TO SECOND AMENDED & RESTATED CONSUMER FINANCING SERVICES AGREEMENT Effective Date: March 31, 2021 WH |
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| May 13, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): May 13, 2021 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission File |
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| May 13, 2021 |
Vivint Smart Home Grows New Subscribers by 20% while Accelerating Revenue Growth to 13% Exhibit 99.1 Vivint Smart Home Grows New Subscribers by 20% while Accelerating Revenue Growth to 13% First Quarter 2021 Highlights (vs. prior year period) ?New Subscribers grew by 20.1% to 60,127, a record high for the first quarter period ? Total revenues increased by $40.1 million to $343.3 million, representing growth of 13.2% ?Net loss improved by $57.7 million to $87.4 million ?Adjusted EBITD |
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| May 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| May 12, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission |
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| May 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number 001-38246 (Check One): ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-CEN ? Form N-CSR For Period Ended: March 31, 2021 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Report on Form 10-Q For the Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| May 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): May 6, 2021 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| April 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| April 21, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| March 1, 2021 |
As filed with the Securities and Exchange Commission on March 1, 2021. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 98-1380306 (State or other jurisdiction of incorporation or organization) (I.R.S. |
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| February 26, 2021 |
Exhibit 10.33 EMPLOYMENT AGREEMENT (Shawn Lindquist) EMPLOYMENT AGREEMENT (the ?Agreement?) dated March 2, 2020 (the ?Effective Date?) by and among Vivint Smart Home, Inc., a Delaware corporation (the ?Company?), APX Group, Inc., a Delaware corporation (?APX?), and Shawn Lindquist (?Executive?). WHEREAS, APX is an indirect, wholly owned subsidiary of the Company; WHEREAS, APX and Executive entered |
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| February 26, 2021 |
Description of the Securities of Vivint Smart Home, Inc. Exhibit 4.13 VIVINT SMART HOME, INC. DESCRIPTION OF SECURITIES REGISTERED UNDER SECTION 12 OF THE EXCHANGE ACT The following summary of the material terms of our securities is not intended to be a complete summary of the rights and preferences of such securities, and is qualified by reference to the applicable provisions of the General Corporation Law of the State of Delaware (the ?DGCL?), our Ame |
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| February 26, 2021 |
Issuers of Securities Guaranteed by the Registrant EX-22.1 8 ex221guarantors.htm EX-22.1 Exhibit 22.1 List of Guarantors and Subsidiary Issuers of Guaranteed Securities Vivint Smart Home, Inc’s wholly owned subsidiary, APX Group Inc. has the following outstanding guaranteed securities: •7.875% Senior Secured Notes due 2022; •7.625% Senior Notes due 2023; •8.500% Senior Notes due 2024; •6.750% Senior Secured Notes due 2027; •2025 Term Loan B; and • |
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| February 26, 2021 |
Specimen Class A Common Stock Certificate Exhibit 4.15 NUMBER SHARES U- [VIVINT SMART HOME, INC.] INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE SEE REVERSE FOR CERTAIN DEFINITIONS NYSE SYMBOL: VVNT COMMON STOCK CUSIP THIS CERTIFIES THAT: IS THE OWNER OF FULLY PAID AND NON-ASSESSABLE SHARES OF COMMON STOCK OF $0.0001 PAR VALUE EACH OF VIVINT SMART HOME, INC. transferable on the books of the Corporation in person or by attorney upon |
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| February 26, 2021 |
Subsidiaries of Vivint Smart Home, Inc. Exhibit 21.1 Subsidiaries of Vivint Smart Home, Inc. Name Jurisdiction of Incorporation / Organization 313 Aviation, LLC Utah Smart Home Pros, Inc. Utah Vivint, Inc. Utah Vivint Purchasing, LLC Utah AP AL LLC Delaware APX Group Holdings, Inc. Delaware APX Group, Inc. Delaware IPR LLC Delaware Farmington IP LLC Delaware Legacy Vivint Smart Home, Inc. Delaware Space Monkey, LLC Delaware Vivint Amigo |
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| February 26, 2021 |
Exhibit 10.19 VIVINT SMART HOME, INC. INCENTIVE COMPENSATION PLAN Originally adopted by APX Group, Inc. on March 4, 2019 Assumed by Vivint Smart Home, Inc. on February 29, 2020 1.Purposes of the Plan. The Plan is intended to increase the Company?s long-term value and success by (A) motivating Employees to (i) perform to the best of their abilities, and (ii) advance the Company?s mission and strate |
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| February 26, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-382 |
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| February 26, 2021 |
EX-10.34 6 ex1034jteeagreement.htm EX-10.34 Exhibit 10.34 EMPLOYMENT AGREEMENT (JT Hwang) EMPLOYMENT AGREEMENT (the “Agreement”) dated March 2, 2020 (the “Effective Date”) by and among Vivint Smart Home, Inc., a Delaware corporation (the “Company”), APX Group, Inc., a Delaware corporation (“APX”), and JT Hwang (“Executive”). WHEREAS, APX is an indirect, wholly owned subsidiary of the Company; WHER |
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| February 24, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): February 24, 2021 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission |
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| February 24, 2021 |
Exhibit 99.1 Vivint Smart Home Achieves Record 343K New Subscribers, Powering 9% Full Year Revenue Growth and Improving Cash Provided by Operating Activities by $448M Fourth Quarter 2020 Highlights •Total revenues increased by $24.7 million year over year to $332.5 million •Net loss of $151.2 million vs. a net loss of $88.5 million in the prior year period •Adjusted EBITDAa increased by $21.6 mill |
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| February 16, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 Mosaic Acquisition Corp (Name of Issuer) Class A common stock, par value $0.0001 per share (Title of Class of Securities) 61946M100 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whic |
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| February 12, 2021 |
SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* VIVINT SMART HOME, INC. (Name of Issuer) Class A common stock (Title of Class of Securities) 928542109 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the Appropriate Box to Designate the Rule Pursuant |
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| February 11, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Vivint Smart Home, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 928542109 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru |
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| February 10, 2021 |
424B3 Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-252648 PROSPECTUS VIVINT SMART HOME, INC. $500,000,000 Class A Common Stock, Preferred Stock, Depositary Stock, Debt Securities, Guarantees of Debt Securities, Warrants, Subscription Rights, Stock Purchase Contracts and Units Selling Stockholders 170,234,425 Shares of Class A Common Stock Up to 5,933,334 Shares of Class |
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| February 5, 2021 |
VIVINT SMART HOME, INC. 4931 North 300 West Provo, Utah 84604 February 5, 2021 VIA EDGAR Securities and Exchange Commission Division of Corporate Finance 100 F. Street, N.E. Washington, D.C. 20549 Attention: Jan Woo Re: Vivint Smart Home, Inc. Registration Statement on Form S-3 Filed February 2, 2021 File No. 333-252648 (the ?Registration Statement?) Ladies and Gentlemen: Pursuant to Rule 461 prom |
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| February 2, 2021 |
S-3 Table of Contents As filed with the Securities and Exchange Commission on February 2, 2021 Registration No. |
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| February 2, 2021 |
EX-4.4 Exhibit 4.4 FORM OF INDENTURE Dated as of [ ] Between VIVINT SMART HOME, INC., as Issuer and WILMINGTON TRUST, NATIONAL ASSOCIATION, as Trustee CERTAIN SECTIONS OF THIS INDENTURE RELATING TO SECTIONS 310 THROUGH 318 INCLUSIVE, OF THE TRUST INDENTURE ACT OF 1939 Trust Indenture Act Section Indenture Section Section 3.10(a)(1) 609 (a)(2) 609 (a)(3) Not Applicable (a)(4) Not Applicable (b) 608 |
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| February 2, 2021 |
Financial Statements and Exhibits - AMENDMENT NO. 3 TO 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Amendment No. 3 CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): January 17, 2020 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporatio |
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| February 2, 2021 |
Report of Independent Registered Public Accounting Firm EX-99.1 Exhibit 99.1 Report of Independent Registered Public Accounting Firm To the Stockholders and Board of Directors of Vivint Smart Home, Inc. and Subsidiaries Opinion on the Financial Statements We have audited the accompanying consolidated balance sheets of Legacy Vivint Smart Home, Inc. and Subsidiaries (the Company) as of December 31, 2019 and 2018, the related consolidated statements of o |
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| February 1, 2021 |
SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* VIVINT SMART HOME, INC. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 928542109 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| January 8, 2021 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on January 19, 2021, pursuant to the provisions of Rule 12d2-2 (a). |
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| December 9, 2020 |
Filed pursuant to Rule 424(b)(3) Registration No. 333-236340 PROSPECTUS SUPPLEMENT NO. 6 (to Prospectus dated April 1, 2020) VIVINT SMART HOME, INC. 168,494,733 Shares of Class A Common Stock Up to 17,433,334 Shares of Class A Common Stock Issuable Upon Exercise of Warrants This prospectus supplement supplements the prospectus dated April 1, 2020 (the “Prospectus”), which forms a part of our regis |
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| December 9, 2020 |
Vivint Smart Home Announces Redemption of Public Warrants Exhibit 99.1 Vivint Smart Home Announces Redemption of Public Warrants PROVO, Utah-Vivint Smart Home, Inc. (NYSE: VVNT) (the “Company”) today announced that it has delivered a notice of redemption to redeem all of its outstanding warrants (the “Public Warrants”) to purchase shares of the Company’s Class A common stock, $0.0001 par value per share (the “Common Stock”), that were issued under the Wa |
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| December 9, 2020 |
NOTICE OF REDEMPTION OF CERTAIN WARRANTS (CUSIP 928542117) Exhibit 99.2 December 8, 2020 NOTICE OF REDEMPTION OF CERTAIN WARRANTS (CUSIP 928542117) Dear Public Warrant Holder, Vivint Smart Home, Inc. (the “Company”) hereby gives notice that it is redeeming, at 5:00 p.m., New York City time, on January 7, 2021 (the “Redemption Date”), all of the Company’s outstanding warrants (the “Public Warrants”) to purchase shares of the Company’s Class A common stock, |
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| December 9, 2020 |
Vivint Smart Home Announces Redemption of Public Warrants Exhibit 99.1 Vivint Smart Home Announces Redemption of Public Warrants PROVO, Utah-Vivint Smart Home, Inc. (NYSE: VVNT) (the “Company”) today announced that it has delivered a notice of redemption to redeem all of its outstanding warrants (the “Public Warrants”) to purchase shares of the Company’s Class A common stock, $0.0001 par value per share (the “Common Stock”), that were issued under the Wa |
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| December 9, 2020 |
NOTICE OF REDEMPTION OF CERTAIN WARRANTS (CUSIP 928542117) Exhibit 99.2 December 8, 2020 NOTICE OF REDEMPTION OF CERTAIN WARRANTS (CUSIP 928542117) Dear Public Warrant Holder, Vivint Smart Home, Inc. (the “Company”) hereby gives notice that it is redeeming, at 5:00 p.m., New York City time, on January 7, 2021 (the “Redemption Date”), all of the Company’s outstanding warrants (the “Public Warrants”) to purchase shares of the Company’s Class A common stock, |
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| December 9, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No.1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): December 8, 2020 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorpora |
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| December 8, 2020 |
Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): December 8, 2020 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission F |
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| December 8, 2020 |
Vivint Smart Home Announces Redemption of Public Warrants Exhibit 99.1 Vivint Smart Home Announces Redemption of Public Warrants PROVO, Utah-Vivint Smart Home, Inc. (NYSE: VVNT) (the “Company”) today announced that it has delivered a notice of redemption to redeem all of its outstanding warrants (the “Public Warrants”) to purchase shares of the Company’s Class A common stock, $0.0001 par value per share (the “Common Stock”), that were issued under the Wa |
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| December 8, 2020 |
NOTICE OF REDEMPTION OF CERTAIN WARRANTS (CUSIP 928542117) Exhibit 99.2 December 8, 2020 NOTICE OF REDEMPTION OF CERTAIN WARRANTS (CUSIP 928542117) Dear Public Warrant Holder, Vivint Smart Home, Inc. (the “Company”) hereby gives notice that it is redeeming, at 5:00 p.m., New York City time, on January 7, 2021 (the “Redemption Date”), all of the Company’s outstanding warrants (the “Public Warrants”) to purchase shares of the Company’s Class A common stock, |
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| November 5, 2020 |
Table of Contents Filed pursuant to Rule 424(b)(3) Registration No. 333-236340 PROSPECTUS SUPPLEMENT NO. 5 (to Prospectus dated April 1, 2020) VIVINT SMART HOME, INC. 168,494,733 Shares of Class A Common Stock Up to 17,433,334 Shares of Class A Common Stock Issuable Upon Exercise of Warrants This prospectus supplement supplements the prospectus dated April 1, 2020 (the “Prospectus”), which forms a |
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| November 5, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-38246 |
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| November 4, 2020 |
Vivint Smart Home, Inc. Reports Third Quarter 2020 Results; Exhibit 99.1 Vivint Smart Home, Inc. Reports Third Quarter 2020 Results; Key Highlights •Total revenues increased by $28.2 million year over year to $319.0 million •Net loss increased by $5.5 million year over year •Adjusted EBITDAa increased by $53.8 million year over year to $154.5 million •Attrition rate improved by 90 basis points sequentially to 12.8%, a seven-quarter low Provo, UT – November |
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| November 4, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): November 4, 2020 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission F |
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| September 22, 2020 |
Amendment No. 3 to Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Vivint Smart Home, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 928542109 (CUSIP Number) Igor Fert, Esq. Simpson Thacher & Bartlett LLP 425 Lexington Avenue New York, New York 10017 (212) 455-2 |
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| August 7, 2020 |
Table of Contents Filed pursuant to Rule 424(b)(3) Registration No. 333-236340 PROSPECTUS SUPPLEMENT NO. 4 (to Prospectus dated April 1, 2020) VIVINT SMART HOME, INC. 168,494,733 Shares of Class A Common Stock Up to 17,433,334 Shares of Class A Common Stock Issuable Upon Exercise of Warrants This prospectus supplement supplements the prospectus dated April 1, 2020 (the “Prospectus”), which forms a |
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| August 6, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): August 6, 2020 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| August 6, 2020 |
Exhibit 10.1 FORM OF RESTRICTED STOCK UNIT GRANT NOTICE UNDER THE VIVINT SMART HOME, INC. 2020 OMNIBUS INCENTIVE PLAN (Time-Based Restricted Stock Units - Director) Vivint Smart Home, Inc., a Delaware corporation (the “Company”), pursuant to its 2020 Omnibus Incentive Plan, as it may be amended and restated from time to time (the “Plan”), hereby grants to the Participant set forth below, the numbe |
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| August 6, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-38246 Vivi |
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| August 6, 2020 |
424B3 Filed pursuant to Rule 424(b)(3) Registration No. 333-236340 PROSPECTUS SUPPLEMENT NO. 3 (to Prospectus dated April 1, 2020) VIVINT SMART HOME, INC. 168,494,733 Shares of Class A Common Stock Up to 17,433,334 Shares of Class A Common Stock Issuable Upon Exercise of Warrants This prospectus supplement supplements the prospectus dated April 1, 2020 (the “Prospectus”), which forms a part of our |
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| August 6, 2020 |
Vivint Smart Home, Inc. Reports Second Quarter 2020 Results; Raises Outlook for Full Year 2020 Exhibit 99.1 Vivint Smart Home, Inc. Reports Second Quarter 2020 Results; Raises Outlook for Full Year 2020 Key Highlights •Total revenues increased 8.9% year over year to $306.0 million •Net loss improved by $28.9 million year over year (loss of $87.0 million compared to $115.9 million in the prior year period) •Adjusted EBITDAa increased by $64.4 million year over year ($152.7 million compared t |
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| August 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): August 4, 2020 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| June 10, 2020 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): June 9, 2020 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission File |
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| May 11, 2020 |
Exhibit 10.6 RESTRICTED STOCK UNIT GRANT NOTICE UNDER THE VIVINT SMART HOME, INC 2020 OMNIBUS INCENTIVE PLAN (Performance-Based Restricted Stock Units) Vivint Smart Home, Inc., a Delaware corporation (the “Company”), pursuant to its 2020 Omnibus Incentive Plan, as it may be amended and restated from time to time (the “Plan”), hereby grants to the Participant set forth below, the number of Restrict |
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| May 11, 2020 |
Exhibit 4.4 FIRST SUPPLEMENTAL INDENTURE First Supplemental Indenture (this “Supplemental Indenture”), dated as of May 6, 2020, between Vivint Smart Home, Inc., a Delaware corporation (the “Guaranteeing Parent”), the indirect parent company of APX Group, Inc., a Delaware corporation (the “Issuer”), and Wilmington Trust, National Association, a national banking association, as trustee (the “Trustee |
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| May 11, 2020 |
Exhibit 4.3 THIRD SUPPLEMENTAL INDENTURE Third Supplemental Indenture (this “Supplemental Indenture”), dated as of May 6, 2020, among Vivint Smart Home, Inc., a Delaware corporation (the “Guaranteeing Parent”), the indirect parent company of APX Group, Inc., a Delaware corporation (the “Issuer”), and Wilmington Trust, National Association, a national banking association, as trustee (the “Trustee”) |
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| May 11, 2020 |
Table of Contents Filed pursuant to Rule 424(b)(3) Registration No. 333-236340 PROSPECTUS SUPPLEMENT NO. 2 (to Prospectus dated April 1, 2020) VIVINT SMART HOME, INC. 168,494,733 Shares of Class A Common Stock Up to 17,433,334 Shares of Class A Common Stock Issuable Upon Exercise of Warrants This prospectus supplement supplements the prospectus dated April 1, 2020 (the “Prospectus”), which forms a |
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| May 11, 2020 |
Exhibit 4.6 FIRST SUPPLEMENTAL INDENTURE First Supplemental Indenture (this “Supplemental Indenture”), dated as of May 6, 2020, between Vivint Smart Home, Inc., a Delaware corporation (the “Guaranteeing Parent”), the indirect parent company of APX Group, Inc., a Delaware corporation (the “Issuer”), and Wilmington Trust, National Association, a national banking association, as trustee (the “Trustee |
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| May 11, 2020 |
Exhibit 10.5 RESTRICTED STOCK UNIT GRANT NOTICE UNDER THE VIVINT SMART HOME, INC. 2020 OMNIBUS INCENTIVE PLAN (Time-Based Restricted Stock Units) Vivint Smart Home, Inc., a Delaware corporation (the “Company”), pursuant to its 2020 Omnibus Incentive Plan, as it may be amended and restated from time to time (the “Plan”), hereby grants to the Participant set forth below, the number of Restricted Sto |
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| May 11, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-38246 Viv |
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| May 11, 2020 |
Exhibit 4.5 FIRST SUPPLEMENTAL INDENTURE First Supplemental Indenture (this “Supplemental Indenture”), dated as of May 6, 2020, between Vivint Smart Home, Inc., a Delaware corporation (the “Guaranteeing Parent”), the indirect parent company of APX Group, Inc., a Delaware corporation (the “Issuer”), and Wilmington Trust, National Association, a national banking association, as trustee (the “Trustee |
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| May 7, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): May 7, 2020 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| May 7, 2020 |
Exhibit 99.1 Vivint Smart Home, Inc. Reports First Quarter 2020 Results; Provides Updated Outlook for Full Year 2020 Key Highlights •Total revenues increased 9.8% year over year to $303.2 million •Adjusted EBITDAa of $134.9 million compared to $107.3 million in the prior year period •Net loss of $138.1 million (including $20.9 million of restructuring costs) compared to net loss of $89.2 million i |
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| April 28, 2020 |
424B3 Filed pursuant to Rule 424(b)(3) Registration No. 333-236340 PROSPECTUS SUPPLEMENT NO. 1 (to Prospectus dated April 1, 2020) VIVINT SMART HOME, INC. 168,494,733 Shares of Class A Common Stock Up to 17,433,334 Shares of Class A Common Stock Issuable Upon Exercise of Warrants This prospectus supplement supplements the prospectus dated April 1, 2020 (the “Prospectus”), which forms a part of our |
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| April 27, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): April 24, 2020 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission |
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| April 27, 2020 |
VVNT / Vivint Smart Home, Inc. Class A / Fortress Investment Group LLC Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 3) Under the Securities Exchange Act of 1934 VIVINT SMART HOME, INC. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 928542109 (CUSIP Number) David N. Brooks Fortress Investment Group LLC 1345 Avenue of the Americas, 46th Floor New York, NY 10105 (21 |
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| April 27, 2020 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| April 27, 2020 |
EX-10.1 Exhibit 10.1 FIRST AMENDMENT TO STOCKHOLDERS AGREEMENT This FIRST AMENDMENT (this “Amendment”) to the Stockholders Agreement, dated as of September 15, 2019 (as amended, supplemented, amended and restated or otherwise modified from time to time prior to the date hereof, the “Stockholders Agreement”), by and among Vivint Smart Home, Inc. (f/k/a Mosaic Acquisition Corp.), Legacy Vivint Smart |
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| April 20, 2020 |
VVNT / Vivint Smart Home, Inc. Class A S-8 POS - - S-8 POS S-8 POS As filed with the Securities and Exchange Commission on April 20, 2020 Registration No. |
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| April 9, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): April 9, 2020 VIVINT SMART HOME, INC. APX GROUP HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware Delaware 001-38246 333-191132-02 98-1380306 46-1304852 |
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| April 9, 2020 |
Vivint Smart Home Provides Business Update Related to COVID-19 EX-99.1 Exhibit 99.1 Vivint Smart Home Provides Business Update Related to COVID-19 PROVO, Utah – April 9, 2020 – Vivint Smart Home, Inc. (NYSE:VVNT), a leading smart home company, today announced several business updates related to COVID-19. “As we navigate the evolving situation with the COVID-19 pandemic, ensuring the health, safety, and well-being of our customers, employees and communities re |
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| April 9, 2020 |
VVNT / Vivint Smart Home, Inc. Class A / Fayerweather Fund Eiger, L.P. - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* VIVINT SMART HOME, INC. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 928542109 (CUSIP Number) March 16, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| April 1, 2020 |
424B3 Table of Contents Filed Pursuant to Rule 424(b)(3) Registration Statement No. |
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| March 30, 2020 |
CORRESP VIVINT SMART HOME, INC. 4931 North 300 West Provo, Utah 84604 March 30, 2020 VIA EDGAR Securities and Exchange Commission Division of Corporate Finance 100 F. Street, N.E. Washington, D.C. 20549 Attention: Kathleen Krebs Re: Vivint Smart Home, Inc. Amendment No. 2 on Form S-1 to Registration Statement on Form S-3 Filed March 30, 2020 File No. 333-236340 (the “Registration Statement”) Ladie |
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| March 30, 2020 |
VVNT / Vivint Smart Home, Inc. Class A S-1/A - - S-1/A S-1/A Table of Contents As filed with the Securities and Exchange Commission on March 30, 2020 Registration No. |
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| March 27, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): March 26, 2020 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission |
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| March 24, 2020 |
VVNT / Vivint Smart Home, Inc. Class A S-8 POS - - S-8 POS S-8 POS As filed with the Securities and Exchange Commission on March 24, 2020 Registration No. |
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| March 24, 2020 |
Vivint Smart Home, Inc. 2020 Omnibus Incentive Plan EX-4.4 Exhibit 4.4 VIVINT SMART HOME, INC. 2020 OMNIBUS INCENTIVE PLAN 1. Purpose. The purpose of the Vivint Smart Home, Inc. 2020 Omnibus Incentive Plan is to provide a means through which the Company and the other members of the Company Group may attract and retain key personnel, and to provide a means whereby directors, officers, employees, consultants, and advisors of the Company and the other |
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| March 24, 2020 |
Vivint Smart Home, Inc. 2020 Omnibus Incentive Plan EX-4.4 Exhibit 4.4 VIVINT SMART HOME, INC. 2020 OMNIBUS INCENTIVE PLAN 1. Purpose. The purpose of the Vivint Smart Home, Inc. 2020 Omnibus Incentive Plan is to provide a means through which the Company and the other members of the Company Group may attract and retain key personnel, and to provide a means whereby directors, officers, employees, consultants, and advisors of the Company and the other |
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| March 24, 2020 |
VVNT / Vivint Smart Home, Inc. Class A S-8 - - S-8 S-8 As filed with the Securities and Exchange Commission on March 24, 2020. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Vivint Smart Home, Inc. (Exact name of registrant as specified in its charter) Delaware 98-1380306 (State or other jurisdiction of incorporation or organization) (I. |
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| March 18, 2020 |
VVNT / Vivint Smart Home, Inc. Class A S-1/A - - S-1/A S-1/A Table of Contents As filed with the Securities and Exchange Commission on March 18, 2020 Registration No. |
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| March 18, 2020 |
EX-21.1 Exhibit 21.1 Subsidiaries of Vivint Smart Home, Inc. Name Jurisdiction of Incorporation / Organization 313 Aviation, LLC Utah Smart Home Pros, Inc. Utah Vivint, Inc. Utah Vivint Purchasing, LLC Utah AP AL LLC Delaware APX Group Holdings, Inc. Delaware APX Group, Inc. Delaware IPR LLC Delaware Farmington IP LLC Delaware Legacy Vivint Smart Home, Inc. Delaware Space Monkey, LLC Delaware Vivi |
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| March 18, 2020 |
CORRESP 1 filename1.htm Simpson Thacher & Bartlett LLP 425 LEXINGTON AVENUE NEW YORK, NY 10017-3954 TELEPHONE: +1-212-455-2000 FACSIMILE: +1-212-455-2502 Via EDGAR March 18, 2020 Re: Vivint Smart Home, Inc. Amendment on Form S-1 to Registration Statement on Form S-3 File No. 333-236340 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Ladies and Gentlemen: On behalf of V |
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| March 13, 2020 |
Financial Statements and Exhibits 8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Amendment No. 2 CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): January 17, 2020 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorp |
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| March 13, 2020 |
Description of the Securities of Vivint Smart Home, Inc. EX-4.19 Exhibit 4.19 VIVINT SMART HOME, INC. DESCRIPTION OF SECURITIES REGISTERED UNDER SECTION 12 OF THE EXCHANGE ACT The following is a brief description of the securities of Vivint Smart Home, Inc. (the “Company” “we,” “us” and “our”), registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended, or the “Exchange Act”, as of December 31, 2019. On December 31, 2019, the C |
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| March 13, 2020 |
VVNT / Vivint Smart Home, Inc. Class A / Fortress Investment Group LLC Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 2) Under the Securities Exchange Act of 1934 VIVINT SMART HOME, INC. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 928542109 (CUSIP Number) David N. Brooks Fortress Investment Group LLC 1345 Avenue of the Americas, 46th Floor New York, NY 10105 (21 |
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| March 13, 2020 |
VVNT / Vivint Smart Home, Inc. Class A / Blackstone Holdings III L.P. - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Vivint Smart Home, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 928542109 (CUSIP Number) Igor Fert, Esq. Simpson Thacher & Bartlett LLP 425 Lexington Avenue New York, New York 10017 (212) 455-2000 (Name, Address and |
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| March 13, 2020 |
EX-99.2 Exhibit 99.2 LEGACY VIVINT SMART HOME’S MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS The following discussion and analysis provides information which management believes is relevant to an assessment and understanding of our consolidated results of operations and financial condition. The discussion should be read in conjunction with the consolidated |
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| March 13, 2020 |
EX-99.1 Exhibit 99.1 FINANCIAL STATEMENTS AND SUPPLEMENTARY DATA INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Audited consolidated financial statements Legacy Vivint Smart Home, Inc. and Subsidiaries: Report of Independent Registered Public Accounting Firm 2 Consolidated Balance Sheets as of December 31, 2019 and 2018 3 Consolidated Statements of Operations for the year ended December 31, 2019, 2018 |
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| March 13, 2020 |
10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 5, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): March 5, 2020 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commission |
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| March 5, 2020 |
Vivint Smart Home, Inc. Reports Fourth Quarter and Full-Year 2019; Issues Outlook for Full Year 2020 EX-99.1 Exhibit 99.1 Vivint Smart Home, Inc. Reports Fourth Quarter and Full-Year 2019; Issues Outlook for Full Year 2020 Fourth Quarter 2019 Highlights • Total revenues increased 11.3% year over year to $307.8 million • Net loss of $88.5 million; improved by $31.2 million year over year • Adjusted EBITDAa increased 40.6% year over year to $125.1 million Full Year 2019 Highlights • $1.2 billion in |
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| March 3, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): February 26, 2020 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commiss |
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| March 3, 2020 |
Vivint Smart Home Announces Management Changes EX-99.1 Exhibit 99.1 Vivint Smart Home Announces Management Changes PROVO, Utah – March 3, 2020 – Vivint Smart Home, Inc. (NYSE:VVNT), a leading smart home company, today announced the following management changes. Alex J. Dunn is stepping down as president of Vivint Smart Home after 14 years at the company. He will remain an advisor to the company through March 2021. Scott R. Hardy, Vivint’s chie |
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| February 28, 2020 |
VVNT / Vivint Smart Home, Inc. Class A / Blackstone Holdings III L.P. - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Vivint Smart Home, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 928542109 (CUSIP Number) Igor Fert, Esq. Simpson Thacher & Bartlett LLP 425 Lexington Avenue New York, New York 10017 (212) 455-2000 (Name, Address and |
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| February 28, 2020 |
VVNT / Vivint Smart Home, Inc. Class A / Fortress Investment Group LLC Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 1) Under the Securities Exchange Act of 1934 VIVINT SMART HOME, INC. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 928542109 (CUSIP Number) David N. Brooks Fortress Investment Group LLC 1345 Avenue of the Americas, 46th Floor New York, NY 10105 (21 |
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| February 19, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): February 14, 2020 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commiss |
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| February 19, 2020 |
EX-10.3 Exhibit 10.3 Execution Version FOURTH AMENDED AND RESTATED CREDIT AGREEMENT Dated as of November 16, 2012, Amended and Restated as of June 28, 2013 Further Amended and Restated as of March 6, 2015 Further Amended and Restated as of August 10, 2017 Further Amended and Restated as of February 14, 2020 Among APX GROUP, INC., THE GUARANTORS PARTY HERETO FROM TIME TO TIME, BANK OF AMERICA, N.A. |
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| February 19, 2020 |
EX-10.2 Exhibit 10.2 PUBLISHED DEAL CUSIP NO. 00213NAE2 PUBLISHED TERM B LOAN CUSIP NO. 00213NAF9 AMENDED AND RESTATED CREDIT AGREEMENT Dated as of September 6, 2018, Amended and Restated as of February 14, 2020 Among APX GROUP, INC., THE GUARANTORS PARTY HERETO FROM TIME TO TIME, BANK OF AMERICA, N.A., as Administrative Agent, and THE OTHER LENDERS PARTY HERETO FROM TIME TO TIME BANK OF AMERICA, |
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| February 19, 2020 |
EX-10.1 Exhibit 10.1 Execution Version INDENTURE Dated as of February 14, 2020 Among APX GROUP, INC., as the Issuer, the Guarantors from time to time party hereto and WILMINGTON TRUST, NATIONAL ASSOCIATION, as Trustee and Collateral Agent 6.75% SENIOR SECURED NOTES DUE 2027 Reference is made to the Intercreditor and Collateral Agency Agreement, dated as of November 16, 2012, among APX Group, Inc., |
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| February 19, 2020 |
EX-99.1 Exhibit 99.1 Vivint Completes Refinancing Transactions PROVO, UT—February 14, 2020—Vivint Smart Home, Inc. (NYSE: VVNT) (together with its subsidiaries, “Vivint” or the “Company”) and APX Group Holdings, Inc. (“APX Group Holdings”), Vivint’s indirect subsidiary, today announced that APX Group, Inc. (“APX”), a direct, wholly owned subsidiary of APX Group Holdings, completed its offering of |
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| February 14, 2020 |
MOSC.U / Mosaic Acquisition Corp. / GLAZER CAPITAL, LLC - 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Mosaic Acquisition Corp (Name of Issuer) Class A Common Stock, $0.0001 par value (Title of Class of Securities) 61946M100 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sched |
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| February 13, 2020 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Vivint Smart Home, Inc. (formerly known as Mosaic Acquisition Corp.) (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 928542109 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of This Statement) Check th |
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| February 13, 2020 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Vivint Smart Home, Inc. (formerly known as Mosaic Acquisition Corp.) (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 928542109 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) |
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| February 10, 2020 |
Table of Contents As filed with the Securities and Exchange Commission on February 7, 2020 Registration No. |
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| February 7, 2020 |
CORRESP 425 LEXINGTON AVENUE NEW YORK, NY 10017-3954 TELEPHONE: +1-212-455-2000 FACSIMILE: +1-212-455-2502 VIA EDGAR February 7, 2020 Re: Vivint Smart Home, Inc. |
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| February 4, 2020 |
EXHIBIT 1 JOINT FILING AGREEMENT Each of the undersigned hereby acknowledges and agrees, in compliance with the provisions of Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, that the Schedule 13G to which this Agreement is attached as an Exhibit, and any amendments thereto, will be filed with the Securities and Exchange Commission jointly on behalf of the undersigned. |
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| February 4, 2020 |
MOSC / Mosaic Acquisition Corp. / Mosaic Strategic Capital Llc - AMENDMENT NO. 1 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 1)* Under the Securities Exchange Act of 1934 Vivint Smart Home, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Titles of Class of Securities) 928542109 (CUSIP Number) January 17, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to desi |
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| February 3, 2020 |
Regulation FD Disclosure, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): February 3, 2020 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commissi |
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| January 28, 2020 |
MOSC / Mosaic Acquisition Corp. / INTEGRATED CORE STRATEGIES (US) LLC Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Final Amendment) Vivint Smart Home, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 928542109 (CUSIP Number) Gil A. Raviv, Esq. Millennium Management LLC 666 Fifth Avenue, 8th Floor New York, New York 10103 (212) 841- |
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| January 28, 2020 |
AGREEMENT AS TO JOINT FILING OF SCHEDULE 13G EX-99.1 Exhibit 99.1 AGREEMENT AS TO JOINT FILING OF SCHEDULE 13G The undersigned hereby agree that the Schedule 13G relating to the Class A common stock, par value $0.0001 per share, of Vivint Smart Home, Inc., and any further amendments thereto, to which this Agreement as to Joint Filing of Schedule 13G is attached as an exhibit is filed on behalf of each of them pursuant to and in accordance wi |
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| January 28, 2020 |
MOSC / Mosaic Acquisition Corp. / Fayerweather Fund Eiger, L.P. - SC 13G Passive Investment SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* VIVINT SMART HOME, INC. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 928542109 (CUSIP Number) January 17, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
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| January 27, 2020 |
EX-3.3 Exhibit 3.3 AMENDED AND RESTATED BYLAWS OF VIVINT SMART HOME, INC. ARTICLE I Offices SECTION 1.01 Registered Office. The registered office and registered agent of Vivint Smart Home, Inc. (the “Corporation”) in the State of Delaware shall be as set forth in the Certificate of Incorporation (as defined below). The Corporation may also have offices in such other places in the United States or |
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| January 27, 2020 |
EX-99.A Exhibit A JOINT FILING AGREEMENT Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended, and the rules and regulations thereunder (the “Exchange Act”) the undersigned hereby agree to the joint filing on behalf of each of them of any filing required by such party under Section 13 of the Exchange Act or any rule or regulation thereunder (including any amendment, r |
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| January 27, 2020 |
Form of Indemnification Agreement EX-10.2 Exhibit 10.2 VIVINT SMART HOME, INC. FORM OF INDEMNIFICATION AGREEMENT This Indemnification Agreement (this “Agreement”) is dated as of [insert date], and is between Vivint Smart Home, Inc., a Delaware corporation (the “Company”), and [insert name of indemnitee] (“Indemnitee”). RECITALS A. Indemnitee’s service to the Company substantially benefits the Company. B. Individuals are reluctant |
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| January 27, 2020 |
EX-3.2 Exhibit 3.2 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF MOSAIC ACQUISITION CORP. (Pursuant to Section 242 of the General Corporation Law of the State of Delaware) Mosaic Acquisition Corp., a corporation duly organized and existing under the General Corporation Law of the State of Delaware (the “Corporation”), does hereby certify that: 1. The Amended and Restated Certificate |
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| January 27, 2020 |
MOSC / Mosaic Acquisition Corp. / Blackstone Holdings III L.P. - SC 13D Activist Investment SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Vivint Smart Home, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 928542109 (CUSIP Number) Igor Fert, Esq. Simpson Thacher & Bartlett LLP 425 Lexington Avenue New York, New York 10017 (212) 455-2000 (Name, Address and Tel |
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| January 27, 2020 |
EX-16.1 6 d871584dex161.htm EX-16.1 Exhibit 16.1 January 24, 2020 Office of the Chief Accountant Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Ladies and Gentlemen: We have read the statements of Vivint Smart Home, Inc. (formally known as Mosaic Acquisition Corp.) included under Item 4.01 of its Form 8-K dated January 17, 2020. We agree with the statements concerning o |
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| January 27, 2020 |
Compensation Discussion and Analysis EX-99.2 Exhibit 99.2 Compensation Discussion and Analysis On January 17, 2020, Maiden Merger Sub, Inc. (“Merger Sub”), a wholly owned subsidiary of Mosaic Acquisition Corp. (“Mosaic”), merged with and into Vivint Smart Home, Inc. (“Vivint Smart Home”) with Vivint Smart Home surviving the merger as a wholly owned subsidiary of Mosaic (the “merger”) pursuant to the Agreement and Plan of Merger (the |
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| January 27, 2020 |
EX-3.1 Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF MOSAIC ACQUISITION CORP. * * * * * The present name of the corporation is Mosaic Acquisition Corp. (the “Corporation”). The Corporation was incorporated by the filing of its original Certificate of Incorporation with the Secretary of State of the State of Delaware on December 21, 2018. This Amended and Restated Certificate of |
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| January 27, 2020 |
UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION EX-99.1 Exhibit 99.1 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION Capitalized terms used herein and not otherwise defined in the Current Report of Vivint Smart Home, Inc. on Form 8-K filed on January 24, 2020, to which this unaudited pro forma condensed combined financial information is attached as Exhibit 99.1, have the meanings assigned to such terms in Mosaic Acquisition Corp.’s |
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| January 27, 2020 |
8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Amendment No. 1 CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): January 17, 2020 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorp |
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| January 24, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): January 17, 2020 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware (State or Other Jurisdiction of Incorporation) 001-38246 (Commission File Num |
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| January 24, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date Earliest Event Reported): January 17, 2020 VIVINT SMART HOME, INC. (Exact name of registrant as specified in its charter) Delaware 001-38246 98-1380306 (State or Other Jurisdiction of Incorporation) (Commissi |
