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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $ 4 | 09/10/2018 | M | 14,250 | (4) | 12/23/2023 | Common Stock | 14,250 | $ 0 | 750 | D | ||||
Employee Stock Option (Right to Buy) | $ 11.55 | 09/10/2018 | M | 4,800 | (5) | 05/15/2025 | Common Stock | 4,800 | $ 0 | 2,400 | D | ||||
Employee Stock Option (Right to Buy) | $ 15.02 | 09/10/2018 | M | 7,750 | (6) | 02/14/2026 | Common Stock | 7,750 | $ 0 | 7,250 | D | ||||
Employee Stock Option (Right to Buy) | $ 32.17 | 09/10/2018 | M | 2,666 | (7) | 05/14/2027 | Common Stock | 2,666 | $ 0 | 7,334 | D | ||||
Employee Stock Option (Right to Buy) | $ 37.74 | 09/10/2018 | M | 833 | (8) | 03/31/2028 | Common Stock | 833 | $ 0 | 9,167 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ramos Daniel C/O ALARM.COM HOLDINGS, INC. 8281 GREENSBORO DRIVE SUITE 100 TYSONS, VA 22102 |
Sr. VP-Corporate Development |
/s/ Daniel Ramos | 09/12/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes 152 shares acquired under the Alarm.com Holdings, Inc. 2015 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c). |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $56.00 to $57.00, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $56.75 to $57.035, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4. |
(4) | Immediately exercisable. The option vests with respect to 20% of the shares on December 23, 2014 and, with respect to 1/48th of the remaining shares, the option vests on the first day of each month thereafter over the following four years, subject to the Reporting Person's continuous service through each vesting date. On the date of event requiring this filing, 14,250 shares were fully vested. |
(5) | Immediately exercisable. The option vests with respect to 20% of the shares on May 15, 2016 and, with respect to 1/48th of the remaining shares, the option vests on the first day of each month thereafter over the following four years, subject to the Reporting Person's continuous service through each vesting date. On the date of event requiring this filing, 4,800 shares were fully vested. |
(6) | Immediately exercisable. The option vests with respect to 20% of the shares on February 15, 2017 and, with respect to 1/48th of the remaining shares, the option vests on the first day of each month thereafter over the following four years, subject to the Reporting Person's continuous service through each vesting date. On the date of event requiring this filing, 7,750 shares were fully vested. |
(7) | This option vests and becomes exercisable in sixty (60) equal monthly instalments on the 1st day of each calendar month beginning on June 1, 2017, subject to the Reporting Person's continued service with the Issuer through each such date. On the date of event requiring this filing, 2,666 shares were fully vested. |
(8) | This option vests and becomes exercisable in sixty (60) equal monthly instalments on the 1st day of each calendar month beginning on May 1, 2018, subject to the Reporting Person's continued service with the Issuer through each such date. On the date of event requiring this filing, 833 shares were fully vested. |