0001209191-19-000991.txt : 20190103 0001209191-19-000991.hdr.sgml : 20190103 20190103163352 ACCESSION NUMBER: 0001209191-19-000991 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190101 FILED AS OF DATE: 20190103 DATE AS OF CHANGE: 20190103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Xie Lucy CENTRAL INDEX KEY: 0001723967 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38324 FILM NUMBER: 19506068 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 2019-01-01 0 0001333835 Casa Systems Inc CASA 0001723967 Xie Lucy C/O CASA SYSTEMS, INC. 100 OLD RIVER ROAD ANDOVER MA 01810 1 1 0 0 SVP of Operations Common Stock 2019-01-01 4 M 0 6960 A 2109604 D Common Stock 2019-01-01 4 F 0 20354 13.13 D 2089250 D Restricted Stock Units 2019-01-01 4 M 0 6960 0.00 D Common Stock 6960 20882 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. Consists of 2,043,590 shares of Common Stock and 45,660 shares issuable pursuant to outstanding RSUs that were previously reported on Table I. 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 for RSUs reported on Table II, 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 over four years, with 25% of the 27,842 shares underlying the award having vested on January 1, 2019, and 25% of the shares underlying the award vesting at the end of each successive one-year period thereafter. /s/ Jerry Guo, attorney-in-fact 2019-01-03