Control4 Corporation
CONTROL4 CORP (Form: 4, Received: 11/09/2017 18:21:55)
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 OF SECURITIES
                                                                                  
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

PLAEHN MARTIN
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
__ X __ Officer (give title below)      _____ Other (specify below)
Chairman, CEO and President
(Last)          (First)          (Middle)

C/O CONTROL4 CORPORATION, 11734 S. ELECTION ROAD
3. Date of Earliest Transaction (MM/DD/YYYY)

11/7/2017
(Street)

SALT LAKE CITY, UT 84020
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
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. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. 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   11/7/2017   (1)   M    117137   A $6.14   169257   D    
Common Stock   11/7/2017   (1)   S    117137   D $33.02   (2) 52120   D    
Common Stock   11/8/2017   (1)   M    53295   A $6.14   105415   D    
Common Stock   11/8/2017   (1)   S    53295   D $32.13   (3) 52120   D    
Common Stock   11/9/2017   (1)   M    51568   A $6.14   103688   D    
Common Stock   11/9/2017   (1)   S    51568   D $30.63   (4) 52120   D    
Common Stock                  498   I   By 401(k) Plan   (5)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. 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 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 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
Stock Option (right to buy)   $6.14   11/7/2017     M         117137      (6) 9/28/2021   Common Stock   117137   $0   421935   D    
Stock Option (right to buy)   $6.14   11/8/2017     M         53295      (6) 9/28/2021   Common Stock   53295   $0   368640   D    
Stock Option (right to buy)   $6.14   11/9/2017     M         51568      (6) 9/28/2021   Common Stock   51568   $0   317072   D    

Explanation of Responses:
(1)  Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 16, 2017.
(2)  This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $32.32 per share to $33.77 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 $31.65 per share to $32.82 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)  This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $29.57 per share to $31.46 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.
(5)  Based on the Reporting Person's most recent 401(k) Plan statement.
(6)  Non-qualified Stock Options granted September 29, 2011 that are fully vested and exercisable.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
PLAEHN MARTIN
C/O CONTROL4 CORPORATION
11734 S. ELECTION ROAD
SALT LAKE CITY, UT 84020
X
Chairman, CEO and President

Signatures
/s/ Greg Bishop, Attorney in fact for Martin Plaehn 11/9/2017
** 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).
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