Control4 Corporation
CONTROL4 CORP (Form: 4, Received: 01/08/2018 15:33:53)
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 *

Dungan Jefferson
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 Bus. Development
(Last)          (First)          (Middle)

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

1/4/2018
(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

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
Restricted Stock Units     (1) 1/4/2018     A      5900         (2)   (2) Common Stock   5900   $0   5900   D    
Performance-based Restricted Stock Units     (1) 1/4/2018     A      5900         (3)   (3) Common Stock   5900   $0   5900   D    
Performance-based Restricted Stock Units     (1) 1/4/2018     A      6400         (4)   (4) Common Stock   6400   $0   6400   D    

Explanation of Responses:
(1)  Each Unit represents the right to receive, at settlement, one share of common stock at no cost.
(2)  This RSU award was granted on January 4, 2018, and will vest as follows: 1/3 of the shares shall vest on February 15, 2019, and an additional 1/12 of the shares shall vest quarterly thereafter in each of the following eight quarters, subject to the reporting person's continuous service to the Issuer on each such date.
(3)  This PSU award was granted on January 4, 2018, and upon the certification that certain 2018 financial performance goals were achieved, these shares will vest as follows: 1/3 of the shares shall vest on February 15, 2019, and an additional 1/12 of the shares shall vest quarterly thereafter in each of the following eight quarters, subject to the reporting person's continuous service to the Issuer on each such date.
(4)  This PSU award was granted on January 4, 2018, and upon the certification that certain 2018 financial performance goals were achieved, these shares will vest in full on February 15, 2019, subject to the reporting person's continuous service to the Issuer on each such date.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Dungan Jefferson
C/O CONTROL4 CORPORATION
11734 S. ELECTION ROAD
SALT LAKE CITY, UT 84020


SVP Bus. Development

Signatures
/s/ Greg Bishop, Attorney in fact for Jefferson Dungan 1/8/2018
** 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 control number.