SEC Form 4/A · accession 0001179110-18-007101
CONTROL4 CORP · CTRL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Mark Novakovich
Officer — Chief Financial Officer
Period of report
May 15, 2018
Accepted (ET)
May 18, 2018 · 11:40 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001259515
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F3 | May 15, 2018 | F | 416 | $24.08 | D | 22,138 | D | |
| Common StockF1,F3 | May 15, 2018 | F | 887 | $24.08 | D | 23,251 | D | |
| Common StockF2,F3 | May 15, 2018 | F | 416 | $24.08 | D | 24,252 | D | |
| Common StockF2,F3 | May 15, 2018 | F | 641 | $24.08 | D | 25,611 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.
- F2The 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.
- F3This is an amendment to the original filing because the price $24.74 was inadvertently inserted rather than the correct price of $24.08.