0001179110-18-002322.txt : 20180216
0001179110-18-002322.hdr.sgml : 20180216
20180216191059
ACCESSION NUMBER: 0001179110-18-002322
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: PLAEHN MARTIN
CENTRAL INDEX KEY: 0001229280
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36017
FILM NUMBER: 18622690
MAIL ADDRESS:
STREET 1: P.O. BOX 91123
CITY: SEATTLE
STATE: WA
ZIP: 98111-9223
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
0001229280
PLAEHN MARTIN
C/O CONTROL4 CORPORATION
11734 S. ELECTION ROAD
SALT LAKE CITY
UT
84020
1
1
0
0
Chairman, CEO and President
Common Stock
2018-02-15
4
M
0
5000
A
57120
D
Common Stock
2018-02-15
4
F
0
1468
24.76
D
55652
D
Common Stock
2018-02-15
4
M
0
15000
A
70652
D
Common Stock
2018-02-15
4
F
0
6653
24.76
D
63999
D
Common Stock
2018-02-15
4
M
0
9500
A
73499
D
Common Stock
2018-02-15
4
F
0
4214
24.76
D
69285
D
Common Stock
2018-02-15
4
M
0
5000
A
74285
D
Common Stock
2018-02-15
4
F
0
1468
24.76
D
72817
D
Common Stock
2018-02-15
4
M
0
15000
A
87817
D
Common Stock
2018-02-15
4
F
0
5427
24.76
D
82390
D
Common Stock
2018-02-15
4
M
0
19600
A
101990
D
Common Stock
2018-02-15
4
F
0
8693
24.76
D
93297
D
Common Stock
498
I
By 401(k) Plan
Restricted Stock Units
2018-02-15
4
M
0
5000
0
D
Common Stock
5000
20000
D
Restricted Stock Units
2018-02-15
4
M
0
15000
0
D
Common Stock
15000
30000
D
Restricted Stock Units
2018-02-15
4
M
0
9500
0
D
Common Stock
9500
0
D
Performance-based Restricted Stock Units
2018-02-15
4
M
0
5000
0
D
Common Stock
5000
20000
D
Performance-based Restricted Stock Units
2018-02-15
4
M
0
15000
0
D
Common Stock
15000
30000
D
Performance-based Restricted Stock Units
2018-02-15
4
M
0
19600
0
D
Common Stock
19600
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 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 RSU award was granted on January 3, 2017, and these shares represent all of the shares in the award which vested on February 15, 2018.
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.
/s/ Greg Bishop, Attorney in fact for Martin Plaehn
2018-02-16