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Filing Details

Accession Number:: 0001179110-17-014269
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-11-16 19:40:52
Reporting Period:: 2017-11-15

Accepted Time:: 2017-11-16 19:40:52
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1259515	Control4 Corp	CTRL	Electronic Components & Accessories (3670)	000000000

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1582777	Jefferson Dungan	C/O Control4 Corporation 11734 S. Election Road Salt Lake City UT 84020	Svp Bus. Development	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2017-11-15	1,416	$0.00	1,416	No	4	M	Direct
Common Stock	Disposition	2017-11-15	459	$33.12	957	No	4	F	Direct
Common Stock	Acquisiton	2017-11-15	1,416	$0.00	2,373	No	4	M	Direct
Common Stock	Disposition	2017-11-15	459	$33.12	1,914	No	4	F	Direct
Common Stock	Disposition	2017-11-16	1,914	$32.99	0	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	F	Direct
No	4	M	Direct
No	4	F	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Perforomance-based Restricted Stock Units	Disposition	2017-11-15	1,416	$0.00	1,416	$0.00
Common Stock	Restricted Stock Units	Disposition	2017-11-15	1,416	$0.00	1,416	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
7,084			No	4	M	Direct
7,084			No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	296	Indirect	By 401(k) Plan

Footnotes

Each unit represents the right to receive, at settlement, one share of common stock at no cost.
The minimum federal and state tax withholding due at the vesting of PSU 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 minimum federal and state tax withholding due at the vesting of RSU 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 Conrol4 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 November 30, 2016.
Aggregate shares held by the Reporting Person's 401(k) Plan and his wife's 401(k) Plan.
This PSU award was granted on January 1, 2016, and upon the certification that certain 2016 financial performance goals were achieved, these shares will vest as follows: 1/3 of the shares vested on February 10, 2017, and an additional 1/12 of the shares shall vest quarterly thereafter on the 15th of the first month in each of the following eight quarters, subject to the reporting person's continuous service to the Issuer on each such date.
This RSU award was granted on January 1, 2016, and will vest as follows: 1/3 of the shares vested on February 10, 2017, and an additional 1/12 of the shares shall vest quarterly thereafter on the 15th of the first month in each of the following eight quarters, subject to the reporting person's continuous service to the Issuer on each such date.