0001179110-18-010431.txt : 20180809 0001179110-18-010431.hdr.sgml : 20180809 20180809123348 ACCESSION NUMBER: 0001179110-18-010431 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180803 FILED AS OF DATE: 20180809 DATE AS OF CHANGE: 20180809 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KINDEL CHARLES E. JR. CENTRAL INDEX KEY: 0001748820 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36017 FILM NUMBER: 181004223 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 3 1 edgar.xml FORM 3 - X0206 3 2018-08-03 0 0001259515 CONTROL4 CORP CTRL 0001748820 KINDEL CHARLES E. JR. 11734 SOUTH ELECTION ROAD SALT LAKE CITY UT 84020 0 1 0 0 SVP of Products Common Stock 6 I By 401(k) Plan Restricted Stock Units 0 Common Stock 20200 D Restricted Stock Units 0 Common Stock 10100 D Performance-based Restricted Stock Units 0 Common Stock 10100 D Performance-based Restricted Stock Units 0 Common Stock 7750 D Shares held in Reporting Person's 401(k) Plan. This RSU was granted June 1, 2018. One-fourth of the shares in the award will vest on August 15, 2018. The next 1/4 of the shares will vest on November 15, 2018, the next 1/4 on May 15, 2019, and the remaining 1/4 on November 15, 2019. This RSU was granted on June 1, 2018. One-third of the shares in the award will vest on February 15, 2019. 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 June 1, 2018. One-third of the shares in the award will vest on February 15, 2019 due to the achievement of a certain 2018 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 June 1, 2018, and upon the certification that certain 2018 financial performance goals were achieved, these shares will vest in proportion to the achievement of such goals on February 15, 2019, subject to the reporting person's continuous service to the Issuer on each such date. /s/ Jonathan Tanner, attorney-in-fact for Charles Edward Kindel Jr. 2018-08-09 EX-24 2 ex24kindelpoa.txt LIMITED POWER OF ATTORNEY The undersigned hereby constitutes and appoints each of Martin Plaehn, Mark Novakovich, JD Ellis, Jonathan Tanner and Richard Kline, signing singly, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of Control4 Corporation (the "Company"), from time to time the following U.S. Securities and Exchange Commission ("SEC") forms: (i) Form ID, including any attached documents, to effect the assignment of codes to the undersigned to be used in the transmission of information to the SEC using the EDGAR System; (ii) Form 3, Initial Statement of Beneficial Ownership of Securities, including any attached documents; (iii) Form 4, Statement of Changes in Beneficial Ownership of Securities, including any attached documents; (iv) Form 5, Annual Statement of Beneficial Ownership of Securities in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended, and the rules thereunder, including any attached documents; (v) Schedule 13D and (vi) amendments of each thereof, in accordance with the Securities Exchange Act of 1934, as amended, and the rules thereunder, including any attached documents; (2) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4 or 5, Schedule 13D or any amendment(s) thereto, and timely file such form(s) with the SEC and any securities exchange, national association or similar authority; and (3) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion. The undersigned hereby grants to each such attorney-in-fact, acting singly, full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 or Regulation 13D-G of the Securities Exchange Act of 1934, as amended. The undersigned hereby agrees to indemnify the attorney in fact and the Company from and against any demand, damage, loss, cost or expense arising from any false or misleading information provided by the undersigned to the attorney-in fact. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file such forms with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of July 30, 2018. /s/ Charles Kindel ------------------- Charles Kindel