Filing Details

Accession Number:
0001179110-18-002330
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-02-16 19:36:47
Reporting Period:
2018-02-15
Accepted Time:
2018-02-16 19:36:47
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
1583025 Susan Cashen C/O Control4 Corporation
11734 S. Election Road
Salt Lake City UT 84020
Svp Of Marketing No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2018-02-15 1,417 $0.00 1,417 No 4 M Direct
Common Stock Disposition 2018-02-15 580 $24.76 837 No 4 F Direct
Common Stock Acquisiton 2018-02-15 4,933 $0.00 5,770 No 4 M Direct
Common Stock Disposition 2018-02-15 1,706 $24.76 4,064 No 4 F Direct
Common Stock Acquisiton 2018-02-15 1,417 $0.00 5,481 No 4 M Direct
Common Stock Disposition 2018-02-15 580 $24.76 4,901 No 4 F Direct
Common Stock Acquisiton 2018-02-15 4,933 $0.00 9,834 No 4 M Direct
Common Stock Disposition 2018-02-15 1,736 $24.76 8,098 No 4 F Direct
Common Stock Acquisiton 2018-02-15 14,000 $0.00 22,098 No 4 M Direct
Common Stock Disposition 2018-02-15 4,842 $24.76 17,256 No 4 F Direct
Common Stock Disposition 2018-02-16 1,674 $25.58 15,582 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 F Direct
No 4 M Direct
No 4 F Direct
No 4 M Direct
No 4 F Direct
No 4 M Direct
No 4 F Direct
No 4 M Direct
No 4 F Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Units Disposition 2018-02-15 1,417 $0.00 1,417 $0.00
Common Stock Restricted Stock Units Disposition 2018-02-15 4,933 $0.00 4,933 $0.00
Common Stock Performance-based Restricted Stock Units Disposition 2018-02-15 1,417 $0.00 1,417 $0.00
Common Stock Performance-based Restricted Stock Units Disposition 2018-02-15 4,933 $0.00 4,933 $0.00
Common Stock Performance-based Restricted Stock Units Disposition 2018-02-15 14,000 $0.00 14,000 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
5,667 No 4 M Direct
9,867 No 4 M Direct
5,667 No 4 M Direct
9,867 No 4 M Direct
0 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 482 Indirect By 401(k) Plan
Footnotes
  1. Each unit represents the right to receive, at settlement, one share of common stock at no cost.
  2. The federal and state tax withholding due at the vesting of Restricted Stock Units 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.
  3. The federal and state tax withholding due at the vesting of Performance-based Restricted Stock Units 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.
  4. This RSU award was granted on January 1, 2016. One-third of the shares in the award vested on February 10, 2017. 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 RSU award was granted on January 1, 2017. One-third of the shares in the award vested on February 15, 2018. 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.
  6. This PSU award was granted on January 1, 2016. One-third of the shares in the award vested on February 10, 2017 due to the achievement of a certain 2016 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.
  7. This PSU award was granted on January 3, 2017. One-third of the shares in the award vested on February 15, 2018 due to the achievement of a certain 2017 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.
  8. This PSU award was granted on January 3, 2017, and these shares represent all of the shares in the award which vested on February 15, 2018 due to the achievement of a certain 2017 financial performance goal.
  9. Based on the Reporting Person's most recent 401(k) Plan statement.
  10. Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 27, 2017.