SEC Form 4/A · accession 0001179110-19-003010

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

Officer — General Counsel

Period of report

Aug 15, 2018

Accepted (ET)

Mar 4, 2019 · 3:26 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 Stock^F1,F6	Aug 15, 2018	M	600	—	A	3,994	D
Common Stock^F2	Aug 15, 2018	F	176	$32.44	D	3,818	D
Common Stock^F1	Aug 15, 2018	M	467	—	A	4,285	D
Common Stock^F2	Aug 15, 2018	F	137	$32.44	D	4,148	D
Common Stock^F3	holding	—	—		—	509	I	By 401(k) Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F1,F4	—	Aug 15, 2018	M	600	D	—	—	Common Stock	600	1,200	D
Restricted Stock Units^F1,F5	—	Aug 15, 2018	M	467	D	—	—	Common Stock	467	2,991	D

F1Each Unit represents the right to receive, at settlement, one share of common stock at no cost.
F2The 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.
F3Shares held in Reporting Person's 401(k) Plan.
F4This RSU award was granted on January 29, 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.
F5This 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.
F6The each of common stock share numbers reported in the originally filed Form 4 were 530 shares to low, and this error was carried through subsequent Forms 4 until February 20, 2019 when the share count was reconciled with the brokerage account and the additional 530 were again included.