SEC Form 5/A · accession 0001179110-19-000887
CONTROL4 CORP · CTRL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 5/A). It replaces an earlier filing for the same period.
Reporting owner
Maria Thomas
Director
Period of report
Dec 31, 2018
Accepted (ET)
Jan 23, 2019 · 7:55 pm EST
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 StockF2,F3 | Mar 1, 2018 | A | 5,900 | $0.00 | A | 5,900 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Initial grant of RSUs pursuant to our 2013 Stock Option and Incentive Plan according to our equity compensation policy for new directors. Inadvertently missed timely filing on Form 4.
- F2The total common stock reported on Table I includes 5,900 shares of common stock underlying RSUs granted on March 1, 2018, which vests as to 1/3 of the Shares on May 15, 2019 and as to 1/12 of the shares each quarter thereafter.
- F3This is an amendment to the original filing because the vesting of the underlying RSUs was mistakenly reported to start on May 15, 2019, rather than the correct vesting commencement date of February 15, 2019.