SEC Form 3
| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 08/03/2018 | 3. Issuer Name and Ticker or Trading Symbol CONTROL4 CORP [ CTRL ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock | 6 | I | By 401(k) Plan(1) |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
|---|---|---|---|---|---|---|---|
| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Restricted Stock Units | (2) | (2) | Common Stock | 20,200 | 0 | D | |
| Restricted Stock Units | (3) | (3) | Common Stock | 10,100 | 0 | D | |
| Performance-based Restricted Stock Units | (4) | (4) | Common Stock | 10,100 | 0 | D | |
| Performance-based Restricted Stock Units | (5) | (5) | Common Stock | 7,750 | 0 | D | |
| Explanation of Responses: |
| 1. Shares held in Reporting Person's 401(k) Plan. |
| 2. This RSU was granted June 1, 2018. One-fourth of the shares in the award will vest on August 15, 2018. The next 1/4 of the shares will vest on November 15, 2018, the next 1/4 on May 15, 2019, and the remaining 1/4 on November 15, 2019. |
| 3. This RSU was granted on June 1, 2018. One-third of the shares in the award will vest on February 15, 2019. 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. |
| 4. This PSU award was granted on June 1, 2018. One-third of the shares in the award will vest on February 15, 2019 due to the achievement of a certain 2018 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. |
| 5. This PSU award was granted on June 1, 2018, and upon the certification that certain 2018 financial performance goals were achieved, these shares will vest in proportion to the achievement of such goals on February 15, 2019, subject to the reporting person's continuous service to the Issuer on each such date. |
| /s/ Jonathan Tanner, attorney-in-fact for Charles Edward Kindel Jr. | 08/09/2018 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||