Filing Details
- Accession Number:
- 0001179110-18-013013
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-11-19 18:16:08
- Reporting Period:
- 2018-11-15
- Accepted Time:
- 2018-11-19 18:16:08
- 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 | 2018-11-15 | 1,417 | $0.00 | 1,417 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-11-15 | 703 | $22.21 | 714 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2018-11-15 | 1,233 | $0.00 | 1,947 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-11-15 | 612 | $22.21 | 1,335 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2018-11-15 | 1,417 | $0.00 | 2,752 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-11-15 | 703 | $22.21 | 2,049 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2018-11-15 | 1,233 | $0.00 | 3,282 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-11-15 | 612 | $22.21 | 2,670 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2018-11-16 | 5,022 | $4.89 | 7,692 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-11-16 | 5,022 | $22.48 | 2,670 | 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 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Performance-based Restricted Stock Units | Disposition | 2018-11-15 | 1,417 | $0.00 | 1,417 | $0.00 |
| Common Stock | Performance-based Restricted Stock Units | Disposition | 2018-11-15 | 1,233 | $0.00 | 1,233 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2018-11-15 | 1,417 | $0.00 | 1,417 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2018-11-15 | 1,233 | $0.00 | 1,233 | $0.00 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-11-16 | 5,022 | $0.00 | 5,022 | $4.89 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,417 | No | 4 | M | Direct | ||
| 6,167 | No | 4 | M | Direct | ||
| 1,417 | No | 4 | M | Direct | ||
| 6,167 | No | 4 | M | Direct | ||
| 15,060 | 2019-08-31 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 757 | 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 these 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.
- 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.
- Incentive Stock Options granted September 1, 2009, which vested over 4 years and are now fully vested and exercisable.
- This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $22.00 per share to $22.97 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.
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