Sec Form 4 Filing - Born Robert @ CONTROL4 CORP - 2016-08-15

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Born Robert
2. Issuer Name and Ticker or Trading Symbol
CONTROL4 CORP [ CTRL]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O CONTROL4 CORPORATION, 11734 S. ELECTION ROAD
3. Date of Earliest Transaction (MM/DD/YY)
08/15/2016
(Street)
SALT LAKE CITY, UT84020
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 08/15/2016 M 2,945 A $ 0 11,780 ( 1 ) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units $ 0 08/15/2016 M 2,945 ( 2 ) ( 2 ) Common Stock 2,945 $ 0 0 ( 3 ) D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Born Robert
C/O CONTROL4 CORPORATION
11734 S. ELECTION ROAD
SALT LAKE CITY, UT84020
X
Signatures
/s/ Greg Bishop, attorney-in-fact for Robert Born 08/17/2016
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The total common stock reported in Table I includes 8,835 shares of common stock underlying RSUs granted on May 31, 2016.
( 2 )This RSU award was granted on May 31, 2016, and vests during the first year following the grant date as follows: 1/4 of the shares vest quarterly on the 15th day August, November, February, and May, subject to the reporting person's continuous service to the Issuer on each such date.
( 3 )Note that these shares were originally reported as a derivative securities in Table II of Form 4 filed on June 1, 2016. Pursuant to the SEC's permissive guidance, going forward we have elected to treat the remaining 8,835 shares in this RSU grant as common stock equivalents and move them to Table I.

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