0001179110-18-013018.txt : 20181119
0001179110-18-013018.hdr.sgml : 20181119
20181119182108
ACCESSION NUMBER: 0001179110-18-013018
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: Novakovich Mark
CENTRAL INDEX KEY: 0001652225
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36017
FILM NUMBER: 181193746
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
0001652225
Novakovich Mark
11734 SOUTH ELECTION ROAD
SALT LAKE CITY
UT
84020
0
1
0
0
Chief Financial Officer
Common Stock
2018-11-15
4
M
0
1417
A
19680
D
Common Stock
2018-11-15
4
F
0
628
22.21
D
19052
D
Common Stock
2018-11-15
4
M
0
2000
A
21052
D
Common Stock
2018-11-15
4
F
0
886
22.21
D
20166
D
Common Stock
2018-11-15
4
M
0
1417
A
21583
D
Common Stock
2018-11-15
4
F
0
628
22.21
D
20955
D
Common Stock
2018-11-15
4
M
0
2000
A
22955
D
Common Stock
2018-11-15
4
F
0
886
22.21
D
22069
D
Common Stock
789
I
By 401(k) Plan
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
2000
0
D
Common Stock
2000
10000
D
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
2000
0
D
Common Stock
2000
10000
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's 401(k) Plan.
This RSU award was granted on December 31, 2015. 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.
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.
/s/ Jonathan Tanner, Attorney in fact for Mark Novakovich
2018-11-19