SEC FORM 4 SEC Form 4
FORM 4 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
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Judd Bryce

(Last) (First) (Middle)
11734 SOUTH ELECTION ROAD

(Street)
SALT LAKE CITY UT 84020

(City) (State) (Zip)
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
3. Date of Earliest Transaction (Month/Day/Year)
03/01/2018
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 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 03/01/2018(1) M 6,496 A $8.16 6,496 D
Common Stock 03/01/2018(1) S 6,496 D $23.56(2) 0 D
Common Stock 03/01/2018(1) M 14,337 A $8.16 14,337 D
Common Stock 03/01/2018(1) S 14,337 D $23.45(3) 0 D
Common Stock 462 I By 401(k) Plan(4)
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 (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 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 (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (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: 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
Stock Option (right to buy) $8.16 03/01/2018 M 6,496 (5) 06/29/2026 Common Stock 6,496 $0 492 D
Stock Option (right to buy) $8.16 03/01/2018 M 14,337 (6) 06/29/2026 Common Stock 14,337 $0 28,675 D
Explanation of Responses:
1. Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 13, 2017.
2. This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $23.20 per share to $24.16 per share. Full information regarding the number of shares sold at each price will be provided upon request from the SEC, the Issuer or a security holder.
3. This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $23.14 per share to $24.16 per share. Full information regarding the number of shares sold at each price will be provided upon request from the SEC, the Issuer or a security holder.
4. Based on the Reporting Person's most recent 401(k) Plan statement.
5. Non-qualified Stock Options granted June 30, 2016 that vest over four years.
6. Incentive Stock Options granted June 30, 2016 that vest over four years.
/s/ Greg Bishop, attorney-in-fact for Bryce Judd 03/01/2018
** Signature of Reporting Person Date
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).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.