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