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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (1) | 01/04/2018 | A | 5,900 | (2) | (2) | Common Stock | 5,900 | $ 0 | 5,900 | D | ||||
Performance-based Restricted Stock Units | (1) | 01/04/2018 | A | 5,900 | (3) | (3) | Common Stock | 5,900 | $ 0 | 5,900 | D | ||||
Performance-based Restricted Stock Units | (1) | 01/04/2018 | A | 6,150 | (4) | (4) | Common Stock | 6,150 | $ 0 | 6,150 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Cashen Susan C/O CONTROL4 CORPORATION 11734 S. ELECTION ROAD SALT LAKE CITY, UT 84020 |
SVP of Marketing |
/s/ Greg Bishop, Attorney in fact for Susan Cashen | 01/08/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Each Unit represents the right to receive, at settlement, one share of common stock at no cost. |
(2) | This RSU award was granted on January 4, 2018, and will vest as follows: 1/3 of the shares shall vest on February 15, 2019, and an additional 1/12 of the shares shall vest quarterly thereafter in each of the following eight quarters, subject to the reporting person's continuous service to the Issuer on each such date. |
(3) | This PSU award was granted on January 4, 2018, and upon the certification that certain 2018 financial performance goals were achieved, these shares will vest as follows: 1/3 of the shares shall vest on February 15, 2019, and an additional 1/12 of the shares shall vest quarterly thereafter in each of the following eight quarters, subject to the reporting person's continuous service to the Issuer on each such date. |
(4) | This PSU award was granted on January 4, 2018, and upon the certification that certain 2018 financial performance goals were achieved, these shares will vest in full on February 15, 2019, subject to the reporting person's continuous service to the Issuer on each such date. |