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Filing Details

Accession Number:: 0001179110-18-010675
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-08-17 17:16:26
Reporting Period:: 2018-08-15

Accepted Time:: 2018-08-17 17:16:26
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

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2018-08-15	1,416	$0.00	1,416	No	4	M	Direct
Common Stock	Disposition	2018-08-15	604	$32.44	812	No	4	F	Direct
Common Stock	Acquisiton	2018-08-15	1,234	$0.00	2,046	No	4	M	Direct
Common Stock	Disposition	2018-08-15	526	$32.44	1,520	No	4	F	Direct
Common Stock	Acquisiton	2018-08-15	1,416	$0.00	2,936	No	4	M	Direct
Common Stock	Disposition	2018-08-15	604	$32.44	2,332	No	4	F	Direct
Common Stock	Acquisiton	2018-08-15	1,234	$0.00	3,566	No	4	M	Direct
Common Stock	Disposition	2018-08-15	526	$32.44	3,040	No	4	F	Direct
Common Stock	Acquisiton	2018-08-16	2,313	$9.93	5,353	No	4	M	Direct
Common Stock	Disposition	2018-08-16	2,313	$31.65	3,040	No	4	S	Direct
Common Stock	Acquisiton	2018-08-16	5,022	$4.89	8,062	No	4	M	Direct
Common Stock	Disposition	2018-08-16	5,022	$31.64	3,040	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	M	Direct
No	4	F	Direct
No	4	M	Direct
No	4	F	Direct
No	4	M	Direct
No	4	S	Direct
No	4	M	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	Performance-based Restricted Stock Units	Disposition	2018-08-15	1,416	$0.00	1,416	$0.00
Common Stock	Performance-based Restricted Stock Units	Disposition	2018-08-15	1,234	$0.00	1,234	$0.00
Common Stock	Restricted Stock Units	Disposition	2018-08-15	1,416	$0.00	1,416	$0.00
Common Stock	Restricted Stock Units	Disposition	2018-08-15	1,234	$0.00	1,234	$0.00
Common Stock	Stock Option (Right to Buy)	Disposition	2018-08-16	2,313	$0.00	2,313	$9.93
Common Stock	Stock Option (Right to Buy)	Disposition	2018-08-16	5,022	$0.00	5,022	$4.89

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
2,834		No	4	M	Direct
7,400		No	4	M	Direct
2,834		No	4	M	Direct
7,400		No	4	M	Direct
0	2022-12-25	No	4	M	Direct
30,126	2019-10-31	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	686	Indirect	By 401(k) Plan

Footnotes

Each unit represents the right to receive, at settlement, one share of common stock at no cost.
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.
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.
Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 22, 2018.
This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $31.46 per share to $31.83 per share. Full information regarding the number of shares sold at each price will be provided upon request from the SEC, the Issuer or a security holder.
This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $31.48 per share to $31.82 per share. Full information regarding the number of shares sold at each price will be provided upon request from the SEC, the Issuer or a security holder.
Shares held in Reporting Person's 401(k) Plan.
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.
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.
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.
This RSU award was granted on January 3, 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.
Non-qualified Stock Options granted December, 26, 2012 that are fully vested.
Incentive Stock Options granted September 1, 2009 that are fully vested.