SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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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1. Name and Address of Reporting Person*
ELLIS JOSHUA D.

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

(Street)
DRAPER UT 84020

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
05/01/2018
3. Issuer Name and Ticker or Trading Symbol
CONTROL4 CORP [ CTRL ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
General Counsel
5. 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 Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 2,102 D
Common Stock 430 I By 401(k) Plan(1)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) (2) 03/23/2021 Common Stock 7,773 6.136 D
Stock Option (Right to Buy) (3) 12/27/2022 Common Stock 5,769 9.932 D
Stock Option (Right to Buy) (4) 02/27/2024 Common Stock 7,000 20.91 D
Stock Option (Right to Buy) (5) 12/30/2024 Common Stock 4,960 15.37 D
Stock Option (Right to Buy) (6) 12/30/2024 Common Stock 40 15.37 D
Restricted Stock Units (7) (7) Common Stock 2,250 (12) D
Restricted Stock Units (8) (8) Common Stock 2,400 (12) D
Restricted Stock Units (9) (9) Common Stock 3,734 (12) D
Restricted Stock Units (10) (10) Common Stock 2,000 (12) D
Restricted Stock Units (11) (11) Common Stock 2,000 (12) D
Explanation of Responses:
1. Based on the Reporting Person's most recent 401(k) Plan statement.
2. Incentive Stock Options granted March 24, 2011 that vest over four years.
3. Incentive Stock Options granted December 28, 2012 that vest over four years.
4. Incentive Stock Options granted February 28, 2014 that vest over four years.
5. Incentive Stock Options granted December 31, 2014 that vest over four years.
6. Non-qualified Stock Options granted December 31, 2014 that vest over four years.
7. This RSU award was granted on July 31, 2015. One-half of the shares in the award vested on August 10, 2017. The remaining shares vest as follows, an additional 1/8 of the shares vest semiannually, on the 15th of February and August in each of the following 2 years.
8. This RSU was granted January 29, 2016. One-third of the shares in the award will vest 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.
9. This RSU was granted January 3, 2017. One-third of the shares in the award will vest 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.
10. This RSU was granted January 4, 2018. One-third of the shares in the award will vest 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.
11. This RSU was granted March 1, 2018. One-third of the shares in the award will vest 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.
12. Each RSU represents the right to receive, at settlement, one (1) share of common stock at no cost.
/s/ Jonathan Tanner, attorney-in-fact for Joshua D. Ellis 05/07/2018
** 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 5 (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.
                  LIMITED POWER OF ATTORNEY


              The undersigned hereby constitutes and appoints 
each of Martin Plaehn, Mark Novakovich, Jonathan Tanner 
and Richard Kline, signing singly, and with full power of substitution, 
the undersigned's true and lawful attorney-in-fact to:
              (1)        execute for and on behalf of the 
undersigned, in the undersigned's capacity as an officer and/or 
director of Control4 Corporation (the "Company"), from time to 
time the following U.S. Securities and Exchange Commission 
("SEC") forms: (i) Form ID, including any attached documents, to 
effect the assignment of codes to the undersigned to be used in 
the transmission of information to the SEC using the EDGAR 
System; (ii) Form 3, Initial Statement of Beneficial Ownership of 
Securities, including any attached documents;  (iii) Form 4, 
Statement of Changes in Beneficial Ownership of Securities, 
including any attached documents; (iv) Form 5, Annual Statement 
of Beneficial Ownership of Securities in accordance with Section 
16(a) of the Securities Exchange Act of 1934, as amended, and the 
rules thereunder, including any attached documents; (v) Schedule 
13D and (vi) amendments of each thereof, in accordance with the 
Securities Exchange Act of 1934, as amended, and the rules 
thereunder,
 including any attached documents;

              (2)        do and perform any and all acts for and 
on behalf of the undersigned which may be necessary or desirable 
to complete and execute any such Form 3, 4 or 5, Schedule 13D or 
any amendment(s) thereto, and timely file such form(s) with the 
SEC and any securities exchange, national association or similar 
authority; and

              (3)        take any other action of any type 
whatsoever in connection with the foregoing which, in the opinion 
of such attorney-in-fact, may be of benefit to, in the best 
interest of, or legally required by, the undersigned, it being 
understood that the documents executed by such attorney-in-fact 
on behalf of the undersigned pursuant to this Power of Attorney 
shall be in such form and shall contain such terms and conditions 
as such attorney-in-fact may approve in such attorney-in-fact's 
discretion.

              The undersigned hereby grants to each such 
attorney-in-fact, acting singly, full power and authority to do 
and perform any and every act and thing whatsoever requisite, 
necessary or proper to be done in the exercise of any of the 
rights and powers herein granted, as fully to all intents and 
purposes as the undersigned might or could do if personally 
present, with full power of substitution or revocation, hereby 
ratifying and confirming all that such attorney-in-fact, or such 
attorney-in-fact's substitute or substitutes, shall lawfully do 
or cause to be done by virtue of this power of attorney and the 
rights and powers herein granted.  The undersigned acknowledges 
that the foregoing attorneys-in-fact, in serving in such capacity 
at the request of the undersigned, are not assuming, nor is the 
Company assuming, any of the undersigned's responsibilities to 
comply with Section 16 or Regulation 13D-G of the Securities 
Exchange Act of 1934, as amended.  The undersigned hereby agrees 
to indemnify the attorney in fact and the Company from and 
against any demand, damage, loss, cost or expense arising from 
any false or misleading information provided by the undersigned 
to the attorney-in fact.

              This Power of Attorney shall remain in full force 
and effect until the undersigned is no longer required to file 
such forms with respect to the undersigned's holdings of and 
transactions in securities issued by the Company, unless earlier 
revoked by the undersigned in a signed writing delivered to the 
foregoing attorneys-in-fact.

              IN WITNESS WHEREOF, the undersigned has caused this 
Power of Attorney to be executed as of May 1, 2018.

 
                                            /s/ JD Ellis	 
                                           ------------------- 
                                             JD Ellis