Amended Statement of Changes in Beneficial Ownership (4/a)

Date : 06/07/2019 @ 5:27PM
Source : Edgar (US Regulatory)
Stock : Control4 Corporation (CTRL)
Quote : 23.91  0.0 (0.00%) @ 12:00AM

Amended Statement of Changes in Beneficial Ownership (4/a)

FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Judd Bryce
2. Issuer Name and Ticker or Trading Symbol

CONTROL4 CORP [ CTRL ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
SVP of Sales
(Last)          (First)          (Middle)

11734 SOUTH ELECTION ROAD
3. Date of Earliest Transaction (MM/DD/YYYY)

5/15/2019
(Street)

SALT LAKE CITY, UT 84020
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

5/15/2019 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   5/15/2019     M    1517   A   (1) 10361   (9) D    
Common Stock   5/15/2019     F    445   (2) D $23.76   9916   (9) D    
Common Stock   5/15/2019     M    1517   A   (1) 11433   (9) D    
Common Stock   5/15/2019     F    445   (2) D $23.76   10988   (9) D    
Common Stock   5/15/2019     M    758   A   (1) 11746   (9) D    
Common Stock   5/15/2019     F    223   (2) D $23.76   11523   (9) D    
Common Stock   5/15/2019     M    758   A   (1) 12281   (9) D    
Common Stock   5/15/2019     F    223   (2) D $23.76   12058   (9) D    
Common Stock   5/15/2019     M    1038   A   (1) 13096   (9) D    
Common Stock   5/15/2019     F    305   (2) D $23.76   12791   (9) D    
Common Stock                  1041   I   By 401(k) Plan   (3)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Performance-based Restricted Stock Units     (1) 5/15/2019     M         1517      (4)   (4) Common Stock   1517   $0   4550   D    
Restricted Stock Units     (1) 5/15/2019     M         1517      (5)   (5) Common Stock   1517   $0   4550   D    
Performance-based Restricted Stock Units     (1) 5/15/2019     M         758      (6)   (6) Common Stock   758   $0   5309   D    
Restricted Stock Units     (1) 5/15/2019     M         758      (7)   (7) Common Stock   758   $0   5309   D    
Restricted Stock Units     (1) 5/15/2019     M         1038      (8)   (8) Common Stock   1038   $0   1039   D    

Explanation of Responses:
(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 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.
(3)  Shares held in Reporting Person's 401(k) Plan.
(4)  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.
(5)  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.
(6)  This PSU award was granted on January 4, 2018. One-third of the shares in the award vested 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.
(7)  This RSU award was granted on January 4, 2018. One-third of the shares in the award vested 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.
(8)  This RSU award was granted on June 30, 2016. One-third of the shares in the award vested on February 15, 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.
(9)  This Amendment is filed to correct the column "Amount of Securities Beneficially Owned Following Reported Transaction(s)" in Table 1. Each entry in the orginal filing, except the entry related to the shares that are indirectly owned, should have contained an additional 8844 shares. This number has now been added to each entry in this amended form.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Judd Bryce
11734 SOUTH ELECTION ROAD
SALT LAKE CITY, UT 84020


SVP of Sales

Signatures
/s/ Jonathan Tanner, attorney-in-fact for Bryce Judd 6/7/2019
** 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 4(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 control number.

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