Control4 Form 4 / Jefferson Dungan ownership change

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^*

Dungan Jefferson

(Last)

(First)

(Middle)

C/O CONTROL4 CORPORATION

11734 S. ELECTION ROAD

(Street)

SALT LAKE CITY

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 Bus. Development

3. Date of Earliest Transaction (Month/Day/Year)
02/15/2017

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	02/15/2017⁽¹⁾		M		2,680	A	$6.14	30,724	D
Common Stock	02/15/2017⁽¹⁾		S		2,680	D	$15.28⁽²⁾	28,044	D
Common Stock	02/15/2017⁽¹⁾		M		6,935	A	$6.14	34,979	D
Common Stock	02/15/2017⁽¹⁾		S		6,935	D	$15.28⁽²⁾	28,044	D
Common Stock	02/15/2017⁽¹⁾		M		6,045	A	$7.49	34,089	D
Common Stock	02/15/2017⁽¹⁾		S		6,045	D	$15.28⁽²⁾	28,044	D
Common Stock	02/15/2017⁽¹⁾		M		26,674	A	$7.49	54,718	D
Common Stock	02/15/2017⁽¹⁾		S		26,674	D	$15.28⁽²⁾	28,044	D
Common Stock	02/15/2017⁽¹⁾		M		2,639	A	$6.34	30,683	D
Common Stock	02/15/2017⁽¹⁾		S		2,639	D	$15.28⁽²⁾	28,044	D
Common Stock	02/15/2017⁽¹⁾		M		2,168	A	$6.34	30,212	D
Common Stock	02/15/2017⁽¹⁾		S		2,168	D	$15.28⁽²⁾	28,044	D
Common Stock	02/15/2017⁽¹⁾		M		1,279	A	$9.15	29,323	D
Common Stock	02/15/2017⁽¹⁾		S		1,279	D	$15.28⁽²⁾	28,044	D
Common Stock	02/16/2017⁽¹⁾		M		11,942	A	$9.15	39,986	D
Common Stock	02/16/2017⁽¹⁾		S		11,942	D	$14.98⁽³⁾	28,044	D
Common Stock	02/16/2017⁽¹⁾		M		6,009	A	$9.15	34,053	D
Common Stock	02/16/2017⁽¹⁾		S		6,009	D	$14.89⁽³⁾	28,044	D
Common Stock								25	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Stock Option (right to buy)	$6.14	02/15/2017		M			2,680	⁽⁵⁾	05/25/2021	Common Stock	2,680	$0	0	D
Stock Option (right to buy)	$6.14	02/15/2017		M			6,935	⁽⁶⁾	05/25/2021	Common Stock	6,935	$0	0	D
Stock Option (right to buy)	$7.49	02/15/2017		M			6,045	⁽⁷⁾	07/08/2020	Common Stock	6,045	$0	0	D
Stock Option (right to buy)	$7.49	02/15/2017		M			26,674	⁽⁸⁾	07/08/2020	Common Stock	26,674	$0	0	D
Stock Option (right to buy)	$6.34	02/15/2017		M			2,639	⁽⁹⁾	12/28/2021	Common Stock	2,639	$0	0	D
Stock Option (right to buy)	$6.34	02/15/2017		M			2,168	⁽¹⁰⁾	12/28/2021	Common Stock	2,168	$0	0	D
Stock Option (right to buy)	$9.15	02/15/2017		M			1,279	⁽¹¹⁾	09/27/2022	Common Stock	1,279	$0	11,942	D
Stock Option (right to buy)	$9.15	02/16/2017		M			11,942	⁽¹¹⁾	09/27/2022	Common Stock	11,942	$0	0	D
Stock Option (right to buy)	$9.15	02/16/2017		M			6,009	⁽¹²⁾	09/27/2022	Common Stock	6,009	$0	0	D

Explanation of Responses:

1. Pursuant to a Rule 10b5-1 trading plan established by the Reporting Person.

2. This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $15.13 per share to $15.49 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 $14.71 per share to $15.19 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. On August 9, 2013 the reporting person acquired 25 shares of Common Stock in his 401(k) Plan.

5. Non-qualified Stock Options granted May 26, 2011 are fully vested and exercisable.

6. Incentive Stock Options granted May 26, 2011 are fully vested and exercisable.

7. Non-qualified Stock Options granted July 9, 2010 are fully vested and exercisable.

8. Incentive Stock Options granted July 9, 2010 are fully vested and exercisable.

9. Incentive Stock Options granted December 29, 2011 are fully vested and exercisable.

10. Non-qualified Stock Options granted December 29, 2011 are fully vested and exercisable.

11. Incentive Options granted September 28, 2012 are fully vested and exercisable.

12. Non-Qualified Options granted September 28, 2012 are fully vested and exercisable.

	/s/ Greg Bishop, Attorney in fact for Jefferson Dungan	02/17/2017
	** 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).
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.

Control4 (CTRL) Inactive Form 4CONTROL4 / Jefferson Dungan ownership change