Sec Form 4 Filing - Judd Bryce @ CONTROL4 CORP - 2019-02-15

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
Judd Bryce
2. Issuer Name and Ticker or Trading Symbol
CONTROL4 CORP [ CTRL]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
SVP of Sales
(Last) (First) (Middle)
11734 SOUTH ELECTION ROAD
3. Date of Earliest Transaction (MM/DD/YY)
02/15/2019
(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 02/15/2019 M 1,039 A 1,039 D
Common Stock 02/15/2019 F 360 ( 2 ) D $ 17.89 679 D
Common Stock 02/15/2019 M 1,039 A 1,718 D
Common Stock 02/15/2019 F 360 ( 2 ) D $ 17.89 1,358 D
Common Stock 02/15/2019 M 1,517 A 2,875 D
Common Stock 02/15/2019 F 525 ( 2 ) D $ 17.89 2,350 D
Common Stock 02/15/2019 M 1,517 A 3,867 D
Common Stock 02/15/2019 F 525 ( 2 ) D $ 17.89 3,342 D
Common Stock 02/15/2019 M 3,033 A 6,375 D
Common Stock 02/15/2019 F 864 ( 2 ) D $ 17.89 5,511 D
Common Stock 02/15/2019 M 6,400 A 11,911 D
Common Stock 02/15/2019 F 1,869 ( 2 ) D $ 17.89 10,042 D
Common Stock 02/15/2019 M 3,033 A 13,075 D
Common Stock 02/15/2019 F 889 ( 2 ) D $ 17.89 12,186 D
Common Stock 830 I By 401(k) Plan ( 3 )
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
Performance-based Restricted Stock Units ( 1 ) 02/15/2019 M 1,039 ( 4 ) ( 4 ) Common Stock 1,039 $ 0 0 D
Restricted Stock Units ( 1 ) 02/15/2019 M 1,039 ( 5 ) ( 5 ) Common Stock 1,039 $ 0 2,077 D
Performance-based Restricted Stock Units ( 1 ) 02/15/2019 M 1,517 ( 6 ) ( 6 ) Common Stock 1,517 $ 0 6,067 D
Restricted Stock Units ( 1 ) 02/15/2019 M 1,517 ( 7 ) ( 7 ) Common Stock 1,517 $ 0 6,067 D
Performance-based Restricted Stock Units ( 1 ) 02/15/2019 M 3,033 ( 8 ) ( 8 ) Common Stock 3,033 $ 0 6,067 D
Performance-based Restricted Stock Units ( 1 ) 02/15/2019 M 6,400 ( 9 ) ( 9 ) Common Stock 6,400 $ 0 0 D
Restricted Stock Units ( 1 ) 02/15/2019 M 3,033 ( 10 ) ( 10 ) Common Stock 3,033 $ 0 6,067 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Judd Bryce
11734 SOUTH ELECTION ROAD
SALT LAKE CITY, UT84020
SVP of Sales
Signatures
/s/ Jonathan Tanner, attorney-in-fact for Bryce Judd 02/20/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Each Unit represents the right to receive, at settlement, one share of common stock at no cost.
( 2 )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.
( 3 )Shares held in Reporting Person's 401(k) Plan.
( 4 )This PSU award was granted on June 30, 2016. One-third of the shares in the award vested on February 10, 2017 due to the achievement of a certain 2016 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.
( 5 )This RSU award was granted on June 30, 2016. One-third of the shares in the award vested on August 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.
( 6 )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.
( 7 )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.
( 8 )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.
( 9 )This PSU award was granted on January 4, 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.
( 10 )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.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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