0001179110-18-013012.txt : 20181119 0001179110-18-013012.hdr.sgml : 20181119 20181119181544 ACCESSION NUMBER: 0001179110-18-013012 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: PLAEHN MARTIN CENTRAL INDEX KEY: 0001229280 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36017 FILM NUMBER: 181193722 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 2018-11-15 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 2018-11-15 4 M 0 5000 A 117779 D Common Stock 2018-11-15 4 F 0 2216 22.21 D 115563 D Common Stock 2018-11-15 4 M 0 3750 A 119313 D Common Stock 2018-11-15 4 F 0 1662 22.21 D 117651 D Common Stock 2018-11-15 4 M 0 5000 A 122651 D Common Stock 2018-11-15 4 F 0 2216 22.21 D 120435 D Common Stock 2018-11-15 4 M 0 3750 A 124185 D Common Stock 2018-11-15 4 F 0 1662 22.21 D 122523 D Common Stock 845 I By 401(k) Plan Performance-based Restricted Stock Units 2018-11-15 4 M 0 5000 0 D Common Stock 5000 5000 D Performance-based Restricted Stock Units 2018-11-15 4 M 0 3750 0 D Common Stock 3750 18750 D Restricted Stock Units 2018-11-15 4 M 0 5000 0 D Common stock 5000 5000 D Restricted Stock Units 2018-11-15 4 M 0 3750 0 D Common Stock 3750 18750 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 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. /s/ Jonathan Tanner, Attorney in fact for Martin Plaehn 2018-11-19