0001179110-19-002167.txt : 20190220 0001179110-19-002167.hdr.sgml : 20190220 20190220173650 ACCESSION NUMBER: 0001179110-19-002167 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190215 FILED AS OF DATE: 20190220 DATE AS OF CHANGE: 20190220 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ELLIS JOSHUA D. CENTRAL INDEX KEY: 0001739497 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36017 FILM NUMBER: 19619627 MAIL ADDRESS: STREET 1: CONTROL4 CORP. STREET 2: 11734 S. ELECTION ROAD CITY: SALT LAKE CITY STATE: UT ZIP: 84020 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CONTROL4 CORP CENTRAL INDEX KEY: 0001259515 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS & ACCESSORIES [3670] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11734 SOUTH ELECTION ROAD CITY: SALT LAKE CITY STATE: UT ZIP: 84020 BUSINESS PHONE: 801-523-3100 MAIL ADDRESS: STREET 1: 11734 SOUTH ELECTION ROAD CITY: SALT LAKE CITY STATE: UT ZIP: 84020 4 1 edgar.xml FORM 4 - X0306 4 2019-02-15 0 0001259515 CONTROL4 CORP CTRL 0001739497 ELLIS JOSHUA D. 11734 SOUTH ELECTION ROAD DRAPER UT 84020 0 1 0 0 General Counsel Common Stock 2019-02-15 4 M 0 600 A 2374 D Common Stock 2019-02-15 4 F 0 208 17.89 D 2166 D Common Stock 2019-02-15 4 M 0 467 A 2633 D Common Stock 2019-02-15 4 F 0 162 17.89 D 2471 D Common Stock 2019-02-15 4 M 0 666 A 3137 D Common Stock 2019-02-15 4 F 0 231 17.89 D 2906 D Common Stock 2019-02-15 4 M 0 666 A 3572 D Common Stock 2019-02-15 4 F 0 231 17.89 D 3341 D Common Stock 2019-02-15 4 M 0 1933 A 5274 D Common Stock 2019-02-15 4 F 0 669 17.89 D 4605 D Common Stock 2019-02-15 4 M 0 6950 A 11555 D Common Stock 2019-02-15 4 F 0 2045 17.89 D 9510 D Common Stock 2019-02-15 4 M 0 1266 A 10776 D Common Stock 2019-02-15 4 F 0 371 17.89 D 10405 D Common Stock 679 I By 401(k) Plan Restricted Stock Units 2019-02-15 4 M 0 600 0 D Common Stock 600 0 D Restricted Stock Units 2019-02-15 4 M 0 467 0 D Common Stock 467 1867 D Restricted Stock Units 2019-02-15 4 M 0 666 0 D Common Stock 666 1334 D Restricted Stock Units 2019-02-15 4 M 0 666 0 D Common Stock 666 1334 D Performance-based Restricted Stock Units 2019-02-15 4 M 0 1933 0 D Common Stock 1933 3867 D Performance-based Restricted Stock Units 2019-02-15 4 M 0 6950 0 D Common Stock 6950 0 D Restricted Stock Units 2019-02-15 4 M 0 1266 0 D Common Stock 1266 2534 D 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 RSU award was granted on January 29, 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. 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. This RSU award was granted on March 1, 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. This PSU award was granted on June 1, 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. This PSU award was granted on June 1, 2018, and these shares represent all of the shares in the award which vested on February 15, 2019 due to the achievement of a certain 2018 financial performance goal. This RSU award was granted on June 1, 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. /s/ Jonathan Tanner, attorney-in-fact for Joshua D. Ellis 2019-02-20