0001179110-19-007316.txt : 20190607 0001179110-19-007316.hdr.sgml : 20190607 20190607132628 ACCESSION NUMBER: 0001179110-19-007316 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190515 FILED AS OF DATE: 20190607 DATE AS OF CHANGE: 20190607 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Judd Bryce CENTRAL INDEX KEY: 0001678455 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36017 FILM NUMBER: 19885042 MAIL ADDRESS: STREET 1: CONTROL4 CORPORATION STREET 2: 11734S 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/A 1 edgar.xml FORM 4/A - X0306 4/A 2019-05-15 2019-05-15 0 0001259515 CONTROL4 CORP CTRL 0001678455 Judd Bryce 11734 SOUTH ELECTION ROAD SALT LAKE CITY UT 84020 0 1 0 0 SVP of Sales Common Stock 2019-05-15 4 M 0 1517 A 10361 D Common Stock 2019-05-15 4 F 0 445 23.76 D 9916 D Common Stock 2019-05-15 4 M 0 1517 A 11433 D Common Stock 2019-05-15 4 F 0 445 23.76 D 10988 D Common Stock 2019-05-15 4 M 0 758 A 11746 D Common Stock 2019-05-15 4 F 0 223 23.76 D 11523 D Common Stock 2019-05-15 4 M 0 758 A 12281 D Common Stock 2019-05-15 4 F 0 223 23.76 D 12058 D Common Stock 2019-05-15 4 M 0 1038 A 13096 D Common Stock 2019-05-15 4 F 0 305 23.76 D 12791 D Common Stock 1041 I By 401(k) Plan Performance-based Restricted Stock Units 2019-05-15 4 M 0 1517 0 D Common Stock 1517 4550 D Restricted Stock Units 2019-05-15 4 M 0 1517 0 D Common Stock 1517 4550 D Performance-based Restricted Stock Units 2019-05-15 4 M 0 758 0 D Common Stock 758 5309 D Restricted Stock Units 2019-05-15 4 M 0 758 0 D Common Stock 758 5309 D Restricted Stock Units 2019-05-15 4 M 0 1038 0 D Common Stock 1038 1039 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 PSU award was granted on January 3, 2017. One-third of the shares in the award vested on February 15, 2018 due to the achievement of a certain 2017 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 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 PSU award was granted on January 4, 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 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 June 30, 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. This Amendment is filed to correct the column "Amount of Securities Beneficially Owned Following Reported Transaction(s)" in Table 1. Each entry in the orginal filing, except the entry related to the shares that are indirectly owned, should have contained an additional 8844 shares. This number has now been added to each entry in this amended form. /s/ Jonathan Tanner, attorney-in-fact for Bryce Judd 2019-06-07