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