0001179110-18-013014.txt : 20181119
0001179110-18-013014.hdr.sgml : 20181119
20181119181643
ACCESSION NUMBER: 0001179110-18-013014
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181115
FILED AS OF DATE: 20181119
DATE AS OF CHANGE: 20181119
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Dungan Jefferson
CENTRAL INDEX KEY: 0001582777
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36017
FILM NUMBER: 181193728
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
2018-11-15
0
0001259515
CONTROL4 CORP
CTRL
0001582777
Dungan Jefferson
C/O CONTROL4 CORPORATION
11734 S. ELECTION ROAD
SALT LAKE CITY
UT
84020
0
1
0
0
SVP Bus. Development
Common Stock
2018-11-15
4
M
0
1417
A
14506
D
Common Stock
2018-11-15
4
F
0
416
22.21
D
14090
D
Common Stock
2018-11-15
4
M
0
1233
A
15323
D
Common Stock
2018-11-15
4
F
0
547
22.21
D
14776
D
Common Stock
2018-11-15
4
M
0
1417
A
16193
D
Common Stock
2018-11-15
4
F
0
575
22.21
D
15618
D
Common Stock
2018-11-15
4
M
0
1233
A
16851
D
Common Stock
2018-11-15
4
F
0
547
22.21
D
16304
D
Common Stock
324
I
By 401(k) Plan
Performance-based Restricted Stock Units
2018-11-15
4
M
0
1417
0
D
Common Stock
1417
1417
D
Performance-based Restricted Stock Units
2018-11-15
4
M
0
1233
0
D
Common Stock
1233
6167
D
Restricted Stock Units
2018-11-15
4
M
0
1417
0
D
Common Stock
1417
1417
D
Restricted Stock Units
2018-11-15
4
M
0
1233
0
D
Common Stock
1233
6167
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 these 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.
Shares held in Reporting Person and spouse's 401(k) Plan.
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 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 3, 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.
Since the date of the reporting person's last ownership report, he transferred 13,090 shares of Control4 common stock and employee stock options to purchase 12,187 shares of Control4 common stock to his ex-wife pursuant to a domestic relations order. The transferred options consist of: 1,639 shares from an ISO granted 12/31/2014; 3,048 from an NSO granted 12/31/2014; 4,917 shares from an ISO granted 2/28/2014; and 2,583 shares from an NSO granted 2/28/2014. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife.
/s/ Jonathan Tanner, Attorney in fact for Jefferson Dungan
2018-11-19