0001179110-18-002330.txt : 20180216
0001179110-18-002330.hdr.sgml : 20180216
20180216193647
ACCESSION NUMBER: 0001179110-18-002330
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180215
FILED AS OF DATE: 20180216
DATE AS OF CHANGE: 20180216
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cashen Susan
CENTRAL INDEX KEY: 0001583025
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36017
FILM NUMBER: 18622733
MAIL ADDRESS:
STREET 1: C/O CONTROL4 CORPORATION
STREET 2: 11734 S. ELECTION ROAD
CITY: SALT LAKE CITY
STATE: UT
ZIP: 84020
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: CONTROL4 CORP
CENTRAL INDEX KEY: 0001259515
STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS & ACCESSORIES [3670]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 11734 SOUTH ELECTION ROAD
CITY: SALT LAKE CITY
STATE: UT
ZIP: 84020
BUSINESS PHONE: 801-523-3100
MAIL ADDRESS:
STREET 1: 11734 SOUTH ELECTION ROAD
CITY: SALT LAKE CITY
STATE: UT
ZIP: 84020
4
1
edgar.xml
FORM 4 -
X0306
4
2018-02-15
0
0001259515
CONTROL4 CORP
CTRL
0001583025
Cashen Susan
C/O CONTROL4 CORPORATION
11734 S. ELECTION ROAD
SALT LAKE CITY
UT
84020
0
1
0
0
SVP of Marketing
Common Stock
2018-02-15
4
M
0
1417
A
1417
D
Common Stock
2018-02-15
4
F
0
580
24.76
D
837
D
Common Stock
2018-02-15
4
M
0
4933
A
5770
D
Common Stock
2018-02-15
4
F
0
1706
24.76
D
4064
D
Common Stock
2018-02-15
4
M
0
1417
A
5481
D
Common Stock
2018-02-15
4
F
0
580
24.76
D
4901
D
Common Stock
2018-02-15
4
M
0
4933
A
9834
D
Common Stock
2018-02-15
4
F
0
1736
24.76
D
8098
D
Common Stock
2018-02-15
4
M
0
14000
A
22098
D
Common Stock
2018-02-15
4
F
0
4842
24.76
D
17256
D
Common Stock
2018-02-16
4
S
0
1674
25.58
D
15582
D
Common Stock
482
I
By 401(k) Plan
Restricted Stock Units
2018-02-15
4
M
0
1417
0
D
Common Stock
1417
5667
D
Restricted Stock Units
2018-02-15
4
M
0
4933
0
D
Common Stock
4933
9867
D
Performance-based Restricted Stock Units
2018-02-15
4
M
0
1417
0
D
Common Stock
1417
5667
D
Performance-based Restricted Stock Units
2018-02-15
4
M
0
4933
0
D
Common Stock
4933
9867
D
Performance-based Restricted Stock Units
2018-02-15
4
M
0
14000
0
D
Common Stock
14000
0
D
Each unit represents the right to receive, at settlement, one share of common stock at no cost.
The federal and state tax withholding due at the vesting of Restricted Stock Units was satisfied by Control4 through a net issuance of these shares, which were retained by Control4 as treasury stock, and the requisite withholding amount was paid to the relevant tax authorities by Control4 on behalf of the Reporting Person. We used the closing price of the shares on the day prior to the vest date for withholding calculations.
The federal and state tax withholding due at the vesting of Performance-based Restricted Stock Units was satisfied by Control4 through a net issuance of these shares, which were retained by Control4 as treasury stock, and the requisite withholding amount was paid to the relevant tax authorities by Control4 on behalf of the Reporting Person. We used the closing price of the shares on the day prior to the vest date for withholding calculations.
This RSU award was granted on January 1, 2016. One-third of the shares in the award vested on February 10, 2017. The remaining shares vest as follows, an additional 1/12 of the shares vest quarterly, on the 15th of May, August, November and February in each of the following eight quarters.
This RSU award was granted on January 1, 2017. One-third of the shares in the award vested on February 15, 2018. The remaining shares vest as follows, an additional 1/12 of the shares vest quarterly, on the 15th of May, August, November and February in each of the following eight quarters.
This PSU award was granted on January 1, 2016. One-third of the shares in the award vested on February 10, 2017 due to the achievement of a certain 2016 financial performance goal. The remaining shares vest as follows, an additional 1/12 of the shares vest quarterly, on the 15th of May, August, November and February in each of the following eight quarters.
This PSU award was granted on January 3, 2017. One-third of the shares in the award vested on February 15, 2018 due to the achievement of a certain 2017 financial performance goal. The remaining shares vest as follows, an additional 1/12 of the shares vest quarterly, on the 15th of May, August, November and February in each of the following eight quarters.
This PSU award was granted on January 3, 2017, and these shares represent all of the shares in the award which vested on February 15, 2018 due to the achievement of a certain 2017 financial performance goal.
Based on the Reporting Person's most recent 401(k) Plan statement.
Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 27, 2017.
/s/ Greg Bishop, Attorney in fact for Susan Cashen
2018-02-16