0000899243-21-000732.txt : 20210106 0000899243-21-000732.hdr.sgml : 20210106 20210106180008 ACCESSION NUMBER: 0000899243-21-000732 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210104 FILED AS OF DATE: 20210106 DATE AS OF CHANGE: 20210106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Guo Jerry CENTRAL INDEX KEY: 0001724043 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38324 FILM NUMBER: 21512038 MAIL ADDRESS: STREET 1: 100 OLD RIVER ROAD, SUITE 100 CITY: ANDOVER STATE: MA ZIP: 01810 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Casa Systems Inc CENTRAL INDEX KEY: 0001333835 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 100 OLD RIVER ROAD STREET 2: SUITE 100 CITY: ANDOVER STATE: MA ZIP: 01810 BUSINESS PHONE: 978-688-6706 MAIL ADDRESS: STREET 1: 100 OLD RIVER ROAD STREET 2: SUITE 100 CITY: ANDOVER STATE: MA ZIP: 01810 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-01-04 0 0001333835 Casa Systems Inc CASA 0001724043 Guo Jerry C/O CASA SYSTEMS, INC. 100 OLD RIVER ROAD ANDOVER MA 01810 1 1 0 0 President & CEO Common Stock 2021-01-04 4 M 0 178370 A 10355729 D Common Stock 2021-01-04 4 F 0 73638 6.14 D 10282091 D Restricted Stock Units 2021-01-04 4 M 0 178370 0.00 D Common Stock 178370 535111 D Restricted stock units ("RSUs") converted into common stock, $0.001 par value per share (the "Common Stock"), of Casa Systems, Inc. (the "Company") on a one-for-one basis upon vesting of the units. Shares withheld by the Company to satisfy tax withholding requirements on vesting of RSUs. No shares were sold. Each RSU represents the right to receive one share of Common Stock upon vesting, subject to the reporting person's continued service relationship with the Company and the other terms and conditions set forth in the applicable RSU agreement. In the sole discretion of the Company's board of directors, the Company may, with respect to any applicable vesting date, deliver to the reporting person Common Stock or cash having a fair market value equal to the number of shares of Common Stock underlying the portion of the RSU that vested on such date, payable within 30 days of the vesting date, less applicable taxes. Scheduled to vest based upon the Company's level of achievement of pre-established performance parameters, as approved by the Company's Board of Directors, related to either or both of (i) the Company's relative Total Shareholder Return ("TSR") performance against the TSR of the companies listed in the Russell 2000 Index, and (ii) the absolute stock price performance of the Company's common stock, in each case, measured over the three-year period beginning on February 25, 2020 and ending on February 25, 2023, and subject to the other terms and conditions set forth in the applicable RSU agreement. /s/ Jerry Guo 2021-01-06