0001179110-18-010675.txt : 20180817
0001179110-18-010675.hdr.sgml : 20180817
20180817171626
ACCESSION NUMBER: 0001179110-18-010675
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180815
FILED AS OF DATE: 20180817
DATE AS OF CHANGE: 20180817
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cashen Susan
CENTRAL INDEX KEY: 0001583025
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36017
FILM NUMBER: 181026510
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
2018-08-15
0
0001259515
CONTROL4 CORP
CTRL
0001583025
Cashen Susan
C/O CONTROL4 CORPORATION
11734 S. ELECTION ROAD
SALT LAKE CITY
UT
84020
0
1
0
0
SVP of Marketing
Common Stock
2018-08-15
4
M
0
1416
A
1416
D
Common Stock
2018-08-15
4
F
0
604
32.44
D
812
D
Common Stock
2018-08-15
4
M
0
1234
A
2046
D
Common Stock
2018-08-15
4
F
0
526
32.44
D
1520
D
Common Stock
2018-08-15
4
M
0
1416
A
2936
D
Common Stock
2018-08-15
4
F
0
604
32.44
D
2332
D
Common Stock
2018-08-15
4
M
0
1234
A
3566
D
Common Stock
2018-08-15
4
F
0
526
32.44
D
3040
D
Common Stock
2018-08-16
4
M
0
2313
9.93
A
5353
D
Common Stock
2018-08-16
4
S
0
2313
31.65
D
3040
D
Common Stock
2018-08-16
4
M
0
5022
4.89
A
8062
D
Common Stock
2018-08-16
4
S
0
5022
31.64
D
3040
D
Common Stock
686
I
By 401(k) Plan
Performance-based Restricted Stock Units
2018-08-15
4
M
0
1416
0
D
Common Stock
1416
2834
D
Performance-based Restricted Stock Units
2018-08-15
4
M
0
1234
0
D
Common Stock
1234
7400
D
Restricted Stock Units
2018-08-15
4
M
0
1416
0
D
Common Stock
1416
2834
D
Restricted Stock Units
2018-08-15
4
M
0
1234
0
D
Common Stock
1234
7400
D
Stock Option (Right to Buy)
9.93
2018-08-16
4
M
0
2313
0
D
2022-12-25
Common Stock
2313
0
D
Stock Option (Right to Buy)
4.89
2018-08-16
4
M
0
5022
0
D
2019-10-31
Common Stock
5022
30126
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 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.
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.
Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 22, 2018.
This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $31.46 per share to $31.83 per share. Full information regarding the number of shares sold at each price will be provided upon request from the SEC, the Issuer or a security holder.
This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $31.48 per share to $31.82 per share. Full information regarding the number of shares sold at each price will be provided upon request from the SEC, the Issuer or a security holder.
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.
Non-qualified Stock Options granted December, 26, 2012 that are fully vested.
Incentive Stock Options granted September 1, 2009 that are fully vested.
/s/ Jonathan Tanner, Attorney in fact for Susan Cashen
2018-08-17