CTRL Pengajuan SEC - Control4 Corp- Laporan Tahunan, Pernyataan Kuasa, Prospektus

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SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Control4 Corp

SEC Filings (Chronological Order)

Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.

August 12, 2019	15-12B	CTRL / Control4 Corp 15-12B - - 15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-36017 CONTROL4 CORPORATION (Exact name of registrant as specified in its
August 1, 2019	S-8 POS	CTRL / Control4 Corp S-8 POS - - S-8 POS As filed with the Securities and Exchange Commission on August 1, 2019 Registration No.
August 1, 2019	S-8 POS	CTRL / Control4 Corp S-8 POS - - S-8 POS As filed with the Securities and Exchange Commission on August 1, 2019 Registration No.
August 1, 2019	S-8 POS	CTRL / Control4 Corp S-8 POS - - S-8 POS As filed with the Securities and Exchange Commission on August 1, 2019 Registration No.
August 1, 2019	S-8 POS	CTRL / Control4 Corp S-8 POS - - S-8 POS As filed with the Securities and Exchange Commission on August 1, 2019 Registration No.
August 1, 2019	S-8 POS	CTRL / Control4 Corp S-8 POS - - S-8 POS As filed with the Securities and Exchange Commission on August 1, 2019 Registration No.
August 1, 2019	S-8 POS	CTRL / Control4 Corp S-8 POS - - S-8 POS As filed with the Securities and Exchange Commission on August 1, 2019 Registration No.
August 1, 2019	8-K	Regulation FD Disclosure, Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Material Modification to Rights of Security Holders, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2019 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission Fil
August 1, 2019	EX-3.2	Second Amended and Restated Bylaws of Control4 Corporation Exhibit 3.2 SECOND AMENDED AND RESTATED BYLAWS OF CONTROL4 CORPORATION ARTICLE I. OFFICES Section 1. Registered Office. The registered office of Control4 Corporation, a Delaware corporation (the “Corporation”), shall be in the City of Wilmington, County of New Castle, State of Delaware. Section 2. Other Offices. The Corporation may also have offices at such other places both within and without the
August 1, 2019	EX-3.1	Amended and Restated Certificate of Incorporation of Control4 Corporation Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF CONTROL4 CORPORATION FIRST: The name of the corporation (hereinafter sometimes referred to as the “Corporation”) is: Control4 Corporation SECOND: The address of the registered office of the Corporation in the State of Delaware is 200 Bellevue Parkway, Suite 210, Bellevue Park Corporate Center, Wilmington, New Castle County, Delaware
August 1, 2019	EX-99.1	SnapAV and Control4 Combine to Transform Global Smart Home Industry Combined company to expand investments in industry-leading solutions and services, driving growth, efficiency and value for technology professionals. Exhibit 99.1 PRESS RELEASE SnapAV and Control4 Combine to Transform Global Smart Home Industry Combined company to expand investments in industry-leading solutions and services, driving growth, efficiency and value for technology professionals. Charlotte, NC — August 1, 2019 9:00 a.m. ET — Today SnapAV, a leading provider of A/V, surveillance, networking and remote management products for professi
July 30, 2019	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 30, 2019 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission File
July 19, 2019	8-K	Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 19, 2019 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission File
July 19, 2019	DEFA14A	CTRL / Control4 Corp DEFA14A - - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 19, 2019 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission File
June 28, 2019	11-K	CTRL / Control4 Corp 11-K - - 11-K Table of Contents SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 11-K x ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 o TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBER 001-36017 A.
June 21, 2019	DEFM14A	CTRL / Control4 Corp DEFM14A - - DEFM14A Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
June 12, 2019	8-K	Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 11, 2019 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission File
June 12, 2019	DEFA14A	CTRL / Control4 Corp DEFA14A - - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 11, 2019 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission File
June 7, 2019	PREM14A	CTRL / Control4 Corp PREM14A - - PREM14A Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
May 31, 2019	EX-1.01	Conflict Minerals Report for the reporting period January 1, 2018 to December 31, 2018. Exhibit 1.01 CONFLICT MINERALS REPORT OF CONTROL4 CORPORATION FOR THE REPORTING PERIOD FROM JANUARY 1, 2018 TO DECEMBER 31, 2018 Background This Conflict Minerals Report of Control4 Corporation (“Control4”) has been prepared pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 (17 CFR 240.13p-1) (the “Rule”) promulgated by the Securities and Exchange Commission (“SEC”) to implement rep
May 31, 2019	SD	CTRL / Control4 Corp SD - - SD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employer Identification No.) 11734 S. Election Road Salt Lake City, Utah, 84020 (Address of principal ex
May 17, 2019	8-K	Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 16, 2019 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission File
May 13, 2019	DFAN14A	CTRL / Control4 Corp DFAN14A DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (a
May 10, 2019	DEFA14A	CTRL / Control4 Corp DEFA14A DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive
May 10, 2019	EX-21.1	List of Subsidiaries of the Registrant EXHIBIT 21.1 Subsidiaries of Control4 Corporation Control4 EMEA Ltd (United Kingdom) Control4 Germany GmbH (Subsidiary of Control4 EMEA Ltd) Control4 Europe doo Belgrade (Subsidiary of Control4 EMEA Ltd) NEEO AG (Switzerland) Control4 HK Limited (Hong Kong) Control4 India Private Limited (India) Control4 Smart Control Technology Shanghai Co., Ltd. (PR China) Control4 Australia Pty Ltd (Australia)
May 10, 2019	10-Q	CTRL / Control4 Corp 10-Q Quarterly Report 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number
May 9, 2019	DEFA14A	CTRL / Control4 Corp DEFA14A DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive
May 9, 2019	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 8, 2019 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission File N
May 9, 2019	EX-2.1	Agreement and Plan of Merger by and among Wirepath Home Systems, LLC, Copper Manager Sub, Inc., and Control4 Corporation. Exhibit 2.1 AGREEMENT AND PLAN OF MERGER by and among WIREPATH HOME SYSTEMS, LLC, COPPER MERGER SUB INC. and CONTROL4 CORPORATION Dated as of May 8, 2019 Table of Contents Page ARTICLE I THE MERGER Section 1.1. The Merger 1 Section 1.2. Closing 2 Section 1.3. Effective Time 2 ARTICLE II EFFECTS OF THE MERGER Section 2.1. Effects of the Merger 2 Section 2.2. Certificate of Incorporation 2 Section 2
May 9, 2019	EX-99.1	Control4 Reports Financial Results for Q1 2019 Exhibit 99.1 Control4 Reports Financial Results for Q1 2019 SALT LAKE CITY — May 9, 2019 8:30 AM EST — Control4 Corporation (NASDAQ: CTRL), a leading global provider of smart-home and networking solutions, today announced financial results for its first quarter ended March 31, 2019. Revenue for the first quarter of 2019 was $60.4 million, compared to revenue of $59.1 million for the first quarter
May 9, 2019	EX-99.2	SnapAV and Control4 Announce Merger to Transform the Rapidly Growing Smart Home Solutions Industry Two industry leaders combine to empower professional integrators with better service and better solutions to more effectively serve the growing demand Exhibit 99.2 SnapAV and Control4 Announce Merger to Transform the Rapidly Growing Smart Home Solutions Industry Two industry leaders combine to empower professional integrators with better service and better solutions to more effectively serve the growing demand for connected homes and businesses Control4 shareholders to receive $23.91 per share in cash Acquisition expected to close in second half
May 9, 2019	EX-2.1	Agreement and Plan of Merger, dated as of May 8, 2019, by and among Wirepath Home Systems, LLC, Copper Merger Sub, Inc. and Control4 Corporation Exhibit 2.1 AGREEMENT AND PLAN OF MERGER by and among WIREPATH HOME SYSTEMS, LLC, COPPER MERGER SUB INC. and CONTROL4 CORPORATION Dated as of May 8, 2019 Table of Contents Page ARTICLE I THE MERGER Section 1.1. The Merger 1 Section 1.2. Closing 2 Section 1.3. Effective Time 2 ARTICLE II EFFECTS OF THE MERGER Section 2.1. Effects of the Merger 2 Section 2.2. Certificate of Incorporation 2 Section 2
May 9, 2019	DEFA14A	CTRL / Control4 Corp DEFA14A 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 8, 2019 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission File N
May 9, 2019	EX-99.1	Earnings press release dated May 9, 2019. Exhibit 99.1 Control4 Reports Financial Results for Q1 2019 SALT LAKE CITY — May 9, 2019 8:30 AM EST — Control4 Corporation (NASDAQ: CTRL), a leading global provider of smart-home and networking solutions, today announced financial results for its first quarter ended March 31, 2019. Revenue for the first quarter of 2019 was $60.4 million, compared to revenue of $59.1 million for the first quarter
May 9, 2019	EX-99.2	Press release dated May 9, 2019, announcing the entry into the Merger Agreement. EX-99.2 4 a19-95241ex99d2.htm EX-99.2 Exhibit 99.2 SnapAV and Control4 Announce Merger to Transform the Rapidly Growing Smart Home Solutions Industry Two industry leaders combine to empower professional integrators with better service and better solutions to more effectively serve the growing demand for connected homes and businesses Control4 shareholders to receive $23.91 per share in cash Acquis
May 1, 2019	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2019 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission Fil
April 16, 2019	EX-99.1	NEEO AG Consolidated Financial Statements Year Ended December 31, 2018 Exhibit 99.1 NEEO AG Consolidated Financial Statements Year Ended December 31, 2018 NEEO AG Contents Independent Auditors’ Report 3-4 Consolidated Financial Statements Consolidated Balance Sheet 6 Consolidated Statement of Operations 7 Consolidated Statement of Changes in Stockholders’ Deficit 8 Consolidated Statement of Cash Flows 9 Notes to Consolidated Financial Statements 10 - 22 2 Independent
April 16, 2019	EX-99.2	UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL STATEMENTS Exhibit 99.2 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL STATEMENTS On February 1, 2019, Control4 Corporation (“Control4” or the “Company”), completed its acquisition of NEEO, AG, a company organized and headquartered in Switzerland (“NEEO”), for $11.0 million in cash, pursuant to a Stock Purchase Agreement (the “Purchase Agreement”) dated January 11, 2019, by and among Control4, NEEO and all
April 16, 2019	8-K/A	Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Amendment No. 1 CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 DATE OF REPORT (DATE OF EARLIEST EVENT REPORTED): February 1, 2019 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporat
March 20, 2019	DEFA14A	CTRL / Control4 Corp UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive P
March 20, 2019	DEF 14A	CTRL / Control4 Corp fp0040402 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] De
February 12, 2019	S-8	Registration Statement on Form S-8 (File No. 333-229620), filed with the SEC on February 12, 2019, registering 1,325,845 shares of common stock, par value $0.0001 per share (“Common Stock”), of the Registrant pursuant to the Control4 Corporation 2013 Stock Option and Incentive Plan; As filed with the U.S. Securities and Exchange Commission on February 12, 2019 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 CONTROL4 CORPORATION (Exact name of registrant as specified in its charter) Delaware 42-1583209 (State or other jurisdiction of incorporation or organization) (I.
February 11, 2019	10-K	CTRL / Control4 Corp 10-K (Annual Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10‑K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 001‑3
February 11, 2019	EX-21.1	List of Subsidiaries of the Registrant EXHIBIT 21.1 Subsidiaries of Control4 Corporation Control4 EMEA Ltd (United Kingdom) Control4 Germany GmbH (Subsidiary of Control4 EMEA Ltd) Control4 Europe doo Belgrade (Subsidiary of Control4 EMEA Ltd) NEEO AG (Switzerland) NEEO, Inc. (Delaware Subsidiary of NEEO AG) Control4 HK Limited (Hong Kong) Control4 India Private Limited (India) Control4 Smart Control Technology Shanghai Co., Ltd. (PR Ch
February 11, 2019	SC 13G/A	CTRL / Control4 Corp / VANGUARD GROUP INC Passive Investment control4corp.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1 )* Name of issuer: Control4 Corp Title of Class of Securities: Common Stock CUSIP Number: 21240D107 Date of Event Which Requires Filing of this Statement: December 31, 2018 Check the appropriate box to design
February 11, 2019	EX-10.6	Offer letter to Charlie Kindel, dated May 19, 2018 Exhibit 10.6 CONTROL4 CORPORATION 11734 S. ELECTION ROAD SALT LAKE CITY, UT 84020 May 19, 2018 Charlie Kindel 2100 W Lk Sammamish Pkwy SE Bellevue, WA 98008 Dear Charlie: Control4 Corporation (the “Company”) is pleased to offer you employment on the following terms: 1.Position. Your initial title will be Senior Vice President, Products and Services, and you will report to the Company’s Chief Execu
February 4, 2019	EX-99.1	Expense ($ mm) 1Q 2019 Stock-based compensation expense 4.4 Amortization of intangible assets 1.4 Total 5.8 Exhibit 99.1 Control4 Reports Record Revenue and Net Income for Fiscal Year 2018 SALT LAKE CITY — February 4, 2019 4:05 PM EST — Control4 Corporation (NASDAQ: CTRL), a leading global provider of smart-home and networking solutions, today announced financial results for its fourth quarter ended December 31, 2018. Revenue for the fourth quarter of 2018 was $72.5 million, compared to revenue of $68.1
February 4, 2019	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a19-393518k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 4, 2019 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of in
February 4, 2019	8-K	Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 1, 2019 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission F
November 2, 2018	10-Q	CTRL / Control4 Corp 10-Q (Quarterly Report) 10-Q 1 ctrl-20180930x10q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition pe
November 1, 2018	EX-99.1	Control4 Reports Record Revenues for Third Quarter 2018 Continued Growth in Connected-Home Opportunities and New Products Exhibit 99.1 Control4 Reports Record Revenues for Third Quarter 2018 Continued Growth in Connected-Home Opportunities and New Products SALT LAKE CITY — November 1, 2018 4:05 PM EST — Control4 Corporation (NASDAQ: CTRL), a leading global provider of smart-home and networking solutions, today announced financial results for its third quarter ended September 30, 2018. Revenue for the third quarter of
November 1, 2018	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a18-3935718k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2018 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of i
August 3, 2018	10-Q	CTRL / Control4 Corp 10-Q (Quarterly Report) 10-Q 1 ctrl-20180630x10q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period
August 2, 2018	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2018 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission Fil
August 2, 2018	EX-99.1	Control4 Reports Record Revenues and Net Income for Q2 2018 Continued Growth in Connected-Home Opportunities and Operational Execution Drive Record Results Exhibit 99.1 Control4 Reports Record Revenues and Net Income for Q2 2018 Continued Growth in Connected-Home Opportunities and Operational Execution Drive Record Results SALT LAKE CITY — August 2, 2018 4:05 PM EST — Control4 Corporation (NASDAQ: CTRL), a leading global provider of smart-home and networking solutions, today announced financial results for its second quarter ended June 30, 2018. Reve
June 29, 2018	11-K	CTRL / Control4 Corp 11-K Table of Contents SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 11-K x ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 o TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBER 001-36017 A.
May 30, 2018	EX-1.01	CONFLICT MINERALS REPORT OF CONTROL4 CORPORATION FOR THE REPORTING PERIOD FROM JANUARY 1, 2017 TO DECEMBER 31, 2017 Exhibit 1.01 CONFLICT MINERALS REPORT OF CONTROL4 CORPORATION FOR THE REPORTING PERIOD FROM JANUARY 1, 2017 TO DECEMBER 31, 2017 Background This Conflict Minerals Report of Control4 Corporation (“Control4”) has been prepared pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 (17 CFR 240.13p-1) (the “Rule”) promulgated by the Securities and Exchange Commission (“SEC”) to implement rep
May 30, 2018	SD	CTRL / Control4 Corp SD SD 1 a18-145001sd.htm SD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employer Identification No.) 11734 S. Election Road Salt Lake City, Utah, 84020
May 4, 2018	10-Q	CTRL / Control4 Corp 10-Q (Quarterly Report) 10-Q 1 ctrl-20180331x10q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period
May 4, 2018	EX-21.1	List of Subsidiaries of the Registrant. EXHIBIT 21.1 Subsidiaries of Control4 Corporation Control4 EMEA Ltd (United Kingdom) Control4 Germany GmbH (Subsidiary of Control4 EMEA Ltd) Control4 Europe doo Belgrade (Subsidiary of Control4 EMEA Ltd) Control4 HK Limited (Hong Kong) Control4 India Private Limited (India) Control4 Smart Control Technology Shanghai Co., Ltd. (PR China) Control4 Australia Pty Ltd (Australia) Nexus Technologies Hol
May 3, 2018	EX-99.1	Control4 Reports Solid Financial Performance for Q1 2018 Exhibit 99.1 Control4 Reports Solid Financial Performance for Q1 2018 Operational Execution and Continued Growth in Connected-Home Opportunities Drive Solid Results SALT LAKE CITY — May 3, 2018 4:05 PM EST — Control4 Corporation (NASDAQ: CTRL), a leading global provider of smart-home and networking solutions, today announced financial results for its first quarter ended March 31, 2018. Revenue for
May 3, 2018	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition, Submission of Matters to a Vote of Security Holders 8-K 1 a18-1267718k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 1, 2018 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorp
March 21, 2018	DEFA14A	CTRL / Control4 Corp DEFA14A DEFA14A 1 fp0032046defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rul
March 21, 2018	DEF 14A	CTRL / Control4 Corp DEF 14A DEF 14A 1 fp0032020def14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule
March 8, 2018	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 6, 2018 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission File
March 8, 2018	EX-10.1	Fifth Amendment to Lease, executed March 6, 2018, by and among Harbert MSB Lone Peak Campus, LLC and Control4 Corporation Exhibit 10.1 LONE PEAK CENTER BUILDINGS 4 & 5 DRAPER, UTAH FIFTH AMENDMENT TO LEASE (CONTROL4 CORPORATION) THIS FIFTH AMENDMENT TO LEASE (this Amendment) is made as of February 28, 2018, by and between HARBERT MSB LONE PEAK CAMPUS, LLC, a Delaware limited liability company (Landlord), and CONTROL4 CORPORATION, a Delaware corporation (Tenant). RECITALS A. Landlord (as successor-in-interest to
February 16, 2018	S-8	Registration Statement on Form S-8 (File No. 333-223091), filed with the SEC on February 16, 2018, registering 1,291,644 shares of Common Stock pursuant to the Control4 Corporation 2013 Stock Option and Incentive Plan; S-8 1 a18-62831s8.htm S-8 As filed with the U.S. Securities and Exchange Commission on February 16, 2018 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 CONTROL4 CORPORATION (Exact name of registrant as specified in its charter) Delaware 42-1583209 (State or other jurisdiction of incorpor
February 15, 2018	EX-10.9	Lease dated March 31, 2012 by and between the Registrant and Harbert MSB Lone Peak Campus, LLC (as successor-in-interest to Colliers Paragon, LLC), as amended on December 17, 2012, February 24, 2014, December 22, 2014, and June 29, 2016. Exhibit 10.9 COMMERCIAL LEASE This COMMERCIAL LEASE (the “Lease”), dated this 31st day of March, 2012 (the “Effective Date”), is entered into by and between (a) Colliers Paragon, LLC, an Idaho limited liability company (“Landlord”), on behalf of and as Managing Representative for the tenant in common owners of the “Building” (as defined below), as successor in interest to DBSI - Draper Lease CO, L
February 15, 2018	10-K	CTRL / Control4 Corp 10-K (Annual Report) 10-K 1 ctrl-20171231x10k.htm 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10‑K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from
February 14, 2018	SC 13G/A	CTRL / Control4 Corp / FRAZIER TECHNOLOGY VENTURES II L P - FRAZIER TECHNOLOGY VENTURES II, L.P. / CONTROL4 CORPORATION -- SCHEDULE 13GA - AMEND. NO. 2 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Control4 Corporation (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 21240D 10 7 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the
February 8, 2018	EX-99.2	Control4 Expands Board of Directors Appoints Maria Thomas to Bring Additional Strategic Marketing and Business Expertise to Control4’s Board of Directors EX-99.2 4 a18-56371ex99d2.htm EX-99.2 Exhibit 99.2 PRESS RELEASE Control4 Expands Board of Directors Appoints Maria Thomas to Bring Additional Strategic Marketing and Business Expertise to Control4’s Board of Directors SALT LAKE CITY, UT. — February 8, 2018 — Control4 Corporation (NASDAQ: CTRL) today announced that Maria Thomas has joined its Board of Directors and will also serve on its Compensat
February 8, 2018	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 6, 2018 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission F
February 8, 2018	EX-10.1	Third Loan Modification Agreement, dated February 6, 2018, by and between Silicon Valley Bank and Control4 Corporation Exhibit 10.1 THIRD LOAN MODIFICATION AGREEMENT This Third Loan Modification Agreement (this ?Loan Modification Agreement?) is entered into as of February 6, 2018, by and between SILICON VALLEY BANK, a California corporation, with its principal place of business at 3003 Tasman Drive, Santa Clara, California 95054 and with a loan production office located at 2755 East Cottonwood Parkway, Suite 540,
February 8, 2018	EX-99.1	Control4 Reports Record Revenue and Net Income for Fiscal Year 2017 Continued Connected-Home Opportunities and Operational Focus Drive Financial Results EX-99.1 3 a18-56371ex99d1.htm EX-99.1 Exhibit 99.1 Control4 Reports Record Revenue and Net Income for Fiscal Year 2017 Continued Connected-Home Opportunities and Operational Focus Drive Financial Results SALT LAKE CITY — February 8, 2018 4:05 PM EST — Control4 Corporation (NASDAQ: CTRL), a leading global provider of smart-home and networking solutions, today announced financial results for its fou
February 8, 2018	SC 13G	CTRL / Control4 Corp / VANGUARD GROUP INC Passive Investment control4corp.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 0 )* Name of issuer: Control4 Corp Title of Class of Securities: Common Stock CUSIP Number: 21240D107 Date of Event Which Requires Filing of this Statement: December 31, 2017 Check the appropriate box to design
February 7, 2018	SC 13G/A	CTRL / Control4 Corp / FRONTIER CAPITAL MANAGEMENT CO LLC - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2) CONTROL4 CORPORATION (Name of Issuer) COMMON STOCKS (Title of Class of Securities) 21240D107 (CUSIP Number) DECEMBER 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to wh
November 3, 2017	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file num
November 2, 2017	EX-99.1	Control4 Reports Financial Results for the Third Quarter of 2017 Revenue Growth and Operational Execution Drive Strong Financial Results Exhibit 99.1 Control4 Reports Financial Results for the Third Quarter of 2017 Revenue Growth and Operational Execution Drive Strong Financial Results SALT LAKE CITY ?November 2, 2017 4:05 PM EST ? Control4 Corporation (NASDAQ: CTRL), a leading global provider of smart-home and networking solutions, today announced financial results for its third quarter ended September 30, 2017. Revenue for the th
November 2, 2017	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2017 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission F
August 4, 2017	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 0
August 3, 2017	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 3, 2017 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission Fil
August 3, 2017	EX-99.1	Control4 Reports Financial Results for the Second Quarter of 2017 Continued Revenue Growth and Operational Leverage Drive Strong Financial Results Exhibit 99.1 Control4 Reports Financial Results for the Second Quarter of 2017 Continued Revenue Growth and Operational Leverage Drive Strong Financial Results SALT LAKE CITY ? August 3, 2017 4:05 PM EST ? Control4 Corporation (NASDAQ: CTRL), a leading global provider of smart-home and networking solutions, today announced financial results for its second quarter ended June 30, 2017. Revenue for t
May 26, 2017	EX-1.01	CONFLICT MINERALS REPORT OF CONTROL4 CORPORATION FOR THE REPORTING PERIOD FROM JANUARY 1, 2016 TO DECEMBER 31, 2016 EX-1.01 2 a17-141081ex1d01.htm EX-1.01 Exhibit 1.01 CONFLICT MINERALS REPORT OF CONTROL4 CORPORATION FOR THE REPORTING PERIOD FROM JANUARY 1, 2016 TO DECEMBER 31, 2016 Background This Conflict Minerals Report of Control4 Corporation (“Control4”) has been prepared pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 (17 CFR 240.13p-1) (the “Rule”) promulgated by the Securities and Excha
May 26, 2017	SD	Control4 SD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employer Identification No.) 11734 S. Election Road Salt Lake City, Utah, 84020 (Address of principal ex
May 5, 2017	EX-21.1	Subsidiaries of Control4 Corporation EXHIBIT 21.1 Subsidiaries of Control4 Corporation Control4 EMEA Ltd (United Kingdom) Control4 Germany GmbH (Subsidiary of Control4 EMEA Ltd) Control4 Europe doo Belgrade (Subsidiary of Control4 EMEA Ltd) Control4 HK Limited (Hong Kong) Control4 India Private Limited (India) Control4 Smart Control Technology Shanghai Co., Ltd. (PR China) Control4 Australia Pty Ltd (Australia) Nexus Technologies Hol
May 5, 2017	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number
May 4, 2017	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2017 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission File N
May 4, 2017	EX-99.1	Control4 Reports Continued, Strong Financial Results for the First Quarter of 2017 Connected-Home Momentum and Continued Operational Focus Drive Financial Results Exhibit 99.1 Control4 Reports Continued, Strong Financial Results for the First Quarter of 2017 Connected-Home Momentum and Continued Operational Focus Drive Financial Results SALT LAKE CITY ? May 4, 2017 4:05 PM EST ? Control4 Corporation (NASDAQ: CTRL), a leading global provider of smart-home and networking solutions, today announced financial results for its first quarter ended March 31, 2017.
March 21, 2017	DEF 14A	Control4 DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy State
February 15, 2017	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10‑K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10‑K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 001‑3
February 15, 2017	EX-21.1	Subsidiaries of Control4 Corporation EXHIBIT 21.1 Subsidiaries of Control4 Corporation Control4 EMEA Ltd (United Kingdom) Control4 Germany GmbH (Subsidiary of Control4 EMEA Ltd) Control4 Europe doo Belgrade (Subsidiary of Control4 EMEA Ltd) Control4 HK Limited (Hong Kong) Control4 India Private Limited (India) Control4 Smart Control Technology Shanghai Co., Ltd. (PR China) Control4 Australia Pty Ltd (Australia) Nexus Technologies Hol
February 14, 2017	SC 13G/A	Control4 AMENDMENT NO. 1 (Passive Acquisition of More Than 5% of Shares) a67047sc13g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number:3235-0145 Expires: February 28, 2009 Estimated average burden hours per response?10.4 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Control4 Corporation (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 21240D107 (CUSIP
February 14, 2017	SC 13G/A	CTRL / Control4 Corp / FRAZIER TECHNOLOGY VENTURES II L P - SCHEDULE 13GA (AMEND. #1) Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Control4 Corporation (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 21240D 10 7 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the
February 10, 2017	SC 13G/A	CTRL / Control4 Corp / FRONTIER CAPITAL MANAGEMENT CO LLC - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1) CONTROL4 CORPORATION (Name of Issuer) COMMON STOCKS (Title of Class of Securities) 21240D107 (CUSIP Number) DECEMBER 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to wh
February 9, 2017	S-8	Registration Statement on Form S-8 (File No. 333-215987), filed with the SEC on February 9, 2017, registering 250,000 shares of Common Stock pursuant to the Control4 Corporation 401(k) Plan; S-8 1 a17-40302s8.htm S-8 As filed with the U.S. Securities and Exchange Commission on February 9, 2017 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 CONTROL4 CORPORATION (Exact name of registrant as specified in its charter) Delaware 42-1583209 (State or other jurisdiction of incorpora
February 9, 2017	S-8	Registration Statement on Form S-8 (File No. 333-215986), filed with the SEC on February 9, 2017, registering 2,401,758 shares of Common Stock pursuant to the Control4 Corporation 2013 Stock Option and Incentive Plan; As filed with the U.S. Securities and Exchange Commission on February 9, 2017 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 CONTROL4 CORPORATION (Exact name of registrant as specified in its charter) Delaware 42-1583209 (State or other jurisdiction of incorporation or organization) (I.R
February 9, 2017	EX-99.1	Control4 Reports Record Revenue and Income from Operations for the Fourth Quarter Continued Connected-Home Momentum Drives Financial Results ctrlEx991EarningsPress-Release Control4 Reports Record Revenue and Income from Operations for the Fourth Quarter Continued Connected-Home Momentum Drives Financial Results SALT LAKE CITY ? February 9, 2017 4:05 PM EST ? Control4 Corporation (NASDAQ: CTRL), a leading global provider of smart-home and networking solutions, today announced financial results for its fourth quarter and fiscal year ended December 31, 2016.
February 9, 2017	8-K	Control4 (Current Report/Significant Event) ctrl8K16Q4Earnings UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
November 4, 2016	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ctrlCurrent Folio10Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
November 3, 2016	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8K2.0211316 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 3, 2016 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (
November 3, 2016	EX-99.1	Control4 Announces Financial Results for Third Quarter 2016 Strategic Investments and Operational Execution Drive Growth and Continued Momentum, Delivering Record Revenue of $55.2 Million in Q3 EX-99.1 2 ex991q3earningsrelease.htm EX-99.1 Control4 Announces Financial Results for Third Quarter 2016 Strategic Investments and Operational Execution Drive Growth and Continued Momentum, Delivering Record Revenue of $55.2 Million in Q3 SALT LAKE CITY — November 3, 2016 4:05 PM EST — Control4 Corporation (NASDAQ: CTRL), a leading global provider of smart-home and networking solutions, today anno
August 5, 2016	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 ctrl-20160630x10q.htm 10-Q Table of Contents Laptop UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition
August 4, 2016	8-K	Control4 8-K (Current Report/Significant Event) ctrl4CurrentFolio8K080416 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
August 4, 2016	EX-99.1	Control4 Announces Financial Results for Second Quarter 2016 Operational and Strategic Investments Continue to Drive Growth and Momentum, Delivering Record Revenue of $53.2 Million in Q2 Exh991080416 Control4 Announces Financial Results for Second Quarter 2016 Operational and Strategic Investments Continue to Drive Growth and Momentum, Delivering Record Revenue of $53.
August 4, 2016	EX-99.1	Control4 Announces Financial Results for Second Quarter 2016 Operational and Strategic Investments Continue to Drive Growth and Momentum, Delivering Record Revenue of $53.2 Million in Q2 Exh991080416 Control4 Announces Financial Results for Second Quarter 2016 Operational and Strategic Investments Continue to Drive Growth and Momentum, Delivering Record Revenue of $53.
August 4, 2016	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 ctrl-20160804x8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2016 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of
May 26, 2016	SD	Control4 2015FormSD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employer Identification No.) 11734 S. Election Road Salt Lake City, Utah, 84020 (Address of p
May 26, 2016	EX-1.01	CONFLICT MINERALS REPORT OF CONTROL4 CORPORATION FOR THE REPORTING PERIOD FROM JANUARY 1, 2015 TO DECEMBER 31, 2015 Exh1.01ConflictMineralsReport EXHIBIT 1.01 CONFLICT MINERALS REPORT OF CONTROL4 CORPORATION FOR THE REPORTING PERIOD FROM JANUARY 1, 2015 TO DECEMBER 31, 2015 Background This Conflict Minerals Report of Control4 Corporation (?Control4?) has been prepared pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 (17 CFR 240.13p-1) (the ?Rule?) promulgated by the Securities and Exchange Commi
May 20, 2016	EX-2	JOINT FILING AGREEMENT EXHIBIT 2 JOINT FILING AGREEMENT The undersigned hereby agree to the joint filing of the Amendment No.
May 20, 2016	EX-3	POWER OF ATTORNEY EXHIBIT 3 POWER OF ATTORNEY The undersigned, Daniel J. Donoghue, hereby appoints Mark Buckley his true and lawful attorney-in-fact and agent, with full power to execute and file with the United States Securities and Exchange Commission and any stock exchange or similar authority, for and on his behalf in any and all capacities, any and all reports required to be filed pursuant to Section 13 of the
May 20, 2016	EX-4	POWER OF ATTORNEY EXHIBIT 4 POWER OF ATTORNEY The undersigned, Michael R. Murphy, hereby appoints Mark Buckley his true and lawful attorney-in-fact and agent, with full power to execute and file with the United States Securities and Exchange Commission and any stock exchange or similar authority, for and on his behalf in any and all capacities, any and all reports required to be filed pursuant to Section 13 of the
May 20, 2016	EX-1	TRANSACTIONS DURING PAST 60 DAYS EX-1 2 t1600359ex1.htm EXHIBIT 1 EXHIBIT 1 TRANSACTIONS DURING PAST 60 DAYS The Reporting Persons engaged in the following transactions in shares of Common Stock of the Company during the past 60 days. Such transactions involved the sale of shares on the NASDAQ Stock Market. The prices reported below reflect the weighted average sale price of the shares of Common Stock sold on the relevant date. T
May 20, 2016	SC 13D/A	CTRL / Control4 Corp / Discovery Group I, LLC - SCHEDULE 13D (AMENDMENT NO. 1) Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* Control4 Corporation (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities
May 6, 2016	EX-21.1	Subsidiaries of Control4 Corporation EXHIBIT 21.1 Subsidiaries of Control4 Corporation Control4 EMEA Ltd (United Kingdom) Extra Vegetables Limited (Subsidiary of Control4 EMEA Ltd) Control4 Germany GmbH (Subsidiary of Control4 EMEA Ltd) Control4 Europe doo Belgrade (Subsidiary of Control4 EMEA Ltd) Control4 HK Limited (Hong Kong) Control4 India Private Limited (India) Control4 Smart Control Technology Shanghai Co., Ltd. (PR China) Co
May 6, 2016	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents Laptop UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
May 5, 2016	EX-99.1	Control4 Announces Financial Results for First Quarter 2016 Operational Investments in 2015 deliver 24% organic year-over-year Revenue growth in Q1; Pakedge acquisition brings total Q1 year-over-year growth to 34% EX-99.1 2 ctrl-20160503ex991ce4a75.htm EX-99.1 Control4 Announces Financial Results for First Quarter 2016 Operational Investments in 2015 deliver 24% organic year-over-year Revenue growth in Q1; Pakedge acquisition brings total Q1 year-over-year growth to 34% SALT LAKE CITY — May 5, 2016 4:05 PM EST — Control4 Corporation (NASDAQ: CTRL), a leading global provider of smart-home solutions, today an
May 5, 2016	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2016 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission File N
April 13, 2016	EX-99.1	PAKEDGE DEVICE & SOFTWARE, INC FINANCIAL STATEMENTS December 31, 2015 and 2014 ctrlEx991 Table of Contents Exhibit 99.1 PAKEDGE DEVICE & SOFTWARE, INC FINANCIAL STATEMENTS December 31, 2015 and 2014 Table of Contents C O N T E N T S INDEPENDENT AUDITORS' REPORT 3 BALANCE SHEETS 5 STATEMENTS OF OPERATIONS 6 STATEMENTS OF STOCKHOLDERS' EQUITY 7 STATEMENTS OF CASH FLOWS 8 NOTES TO FINANCIAL STATEMENTS 9 Table of Contents INDEPENDENT AUDITORS' REPORT To the Stockholders Pakedge
April 13, 2016	8-K/A	Financial Statements and Exhibits CTRL8-K A 4-13-16 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Amendment No. 1 CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 DATE OF REPORT (DATE OF EARLIEST EVENT REPORTED): January 29, 2016 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdic
April 13, 2016	EX-99.2	UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL STATEMENTS ctrlEx992 Exhibit 99.2 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL STATEMENTS On January 29, 2016, Control4 Corporation (?Control4? or the ?Company?) completed the acquisition of Pakedge Device & Software, Inc., a California corporation (?Pakedge?), for $33.0 million in cash after giving effect to final working capital adjustments, pursuant to a Stock Purchase Agreement dated January 29, 2016
March 24, 2016	DEFA14A	Control4 DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State
March 24, 2016	DEF 14A	Control4 DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy State
February 16, 2016	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10‑K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10‑K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 001‑3
February 16, 2016	EX-21.1	Subsidiaries of Control4 Corporation EXHIBIT 21.1 Subsidiaries of Control4 Corporation Control4 EMEA Ltd (United Kingdom) Extra Vegetables Limited (Subsidiary of Control4 EMEA Ltd) Control4 HK Limited (Hong Kong) Control4 India Private Limited (India) Control4 Smart Control Technology Shanghai Co., Ltd. (PR China) Control4 Australia Pty Ltd (Australia) Nexus Technologies Holdings Pty Ltd (Subsidiary of Control4 Australia Pty Ltd) Nex
February 12, 2016	SC 13G	Control4 SC 13G (Passive Acquisition of More Than 5% of Shares) SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* CONTROL4 CORPORATION (Name of Issuer) COMMON STOCKS (Title of Class of Securities) 21240D107 (CUSIP Number) DECEMBER 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which
February 11, 2016	SC 13G/A	CTRL / Control4 Corp / PRICE T ROWE ASSOCIATES INC /MD/ - CTRL AS OF 12/31/2015 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4) CONTROL4 CORP (Name of Issuer) COMMON STOCK (Title of Class of Securities) 21240D107 (CUSIP Number) December 31, 2015 (Date of Event which Requires Filing of Statement) Check the appropriate box to designate the Rule pursuant to which this Schedule is fil
February 4, 2016	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Results of Operations and Financial Condition, Completion of Acquisition or Disposition of Assets 8-K 1 ctrl-20160129x8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 29, 2016 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction
February 4, 2016	EX-99.1	Control4 Announces Financial Results for Fourth Quarter and Fiscal Year 2015 EX-99.1 4 ctrl-20160129ex991ea6d98.htm EX-99.1 Exhibit 99.1 Control4 Announces Financial Results for Fourth Quarter and Fiscal Year 2015 SALT LAKE CITY — Feb. 4, 2016 4:05 PM EST — Control4 Corporation (NASDAQ: CTRL), a leading global provider of smart home solutions, today announced financial results for its fourth quarter and fiscal year ended December 31, 2015. Revenue for the fourth quarter of
February 4, 2016	EX-2.1	STOCK PURCHASE AGREEMENT Pakedge Device & Software Inc., Victor Pak, Dusan Jankov, Nickolas Phillips, The Stacy Pak 2015 Annuity Trust, The Victor Pak 2015 Annuity Trust , Control4 Corporation Victor Pak as Sellers’ Representative dated as of January Exhibit 2.1 STOCK PURCHASE AGREEMENT among Pakedge Device & Software Inc., Victor Pak, Dusan Jankov, Nickolas Phillips, The Stacy Pak 2015 Annuity Trust, The Victor Pak 2015 Annuity Trust , Control4 Corporation and Victor Pak as Sellers’ Representative dated as of January 29, 2016 TABLE OF CONTENTS ARTICLE I DEFINITIONS 1 ARTICLE II PURCHASE AND SALE 9 Section 2.01 Purchase and Sale. 9 Section 2.0
February 4, 2016	EX-10.1	Second Loan Modification Agreement, dated January 29, 2016, by and between Silicon Valley Bank and Control4 Corporation EX-10.1 3 ctrl-20160129ex101311a29.htm EX-10.1 Exhibit 10.1 SECOND LOAN MODIFICATION AGREEMENT This Second Loan Modification Agreement (this “Loan Modification Agreement”) is entered into as of January 29, 2016, by and between SILICON VALLEY BANK, a California corporation, with its principal place of business at 3003 Tasman Drive, Santa Clara, California 95054 and with a loan production office loc
February 4, 2016	EX-99.2	Control4 Acquires Pakedge Device & Software, a Leader in Advanced Home Networking Transaction brings to Control4 deep networking expertise, an industry-leading suite of networking, power management, and cloud-based remote management capabilities, as EX-99.2 5 ctrl-20160129ex9924c85b8.htm EX-99.2 Exhibit 99.2 PRESS RELEASE Control4 Acquires Pakedge Device & Software, a Leader in Advanced Home Networking Transaction brings to Control4 deep networking expertise, an industry-leading suite of networking, power management, and cloud-based remote management capabilities, as well as an expanded sales channel of over 1,100 additional independent deale
January 19, 2016	SC 13G	CTRL / Control4 Corp / Odey Asset Management Group Ltd Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number:3235-0145 Expires: February 28, 2009 Estimated average burden hours per response…10.4 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Control4 Corporation (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 21240D107 (CUSIP Number) December
January 19, 2016	EX-99.1	JOINT FILING AGREEMENT EX-99.1 2 a69860exhibit99-1.htm JOINT FILING AGREEMENT BY AND AMONG THE REPORTING PERSONS Exhibit 99.1 JOINT FILING AGREEMENT This Joint Filing Agreement, dated as of January , 2016, is by and among Odey Asset Management Group Ltd, Odey Asset Management LLP, Odey Holdings AG and Robin Crispin William Odey (collectively, the "Filers"). Each of the Filers may be required to file with the United Stat
December 3, 2015	CORRESP	Control4 ESP ctrl-AmendedFolioCORRESP20151125 December 3, 2015 Brian Cascio Accounting Branch Chief Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.
December 3, 2015	10-Q/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A Amendment No. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A Amendment No. 1 (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file num
December 3, 2015	10-Q/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A Amendment No. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A Amendment No. 1 (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 0
December 3, 2015	10-Q/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A Amendment No. 1 (Mark one) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A Amendment No. 1 (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number
November 25, 2015	EX-4	POWER OF ATTORNEY EXHIBIT 4 POWER OF ATTORNEY The undersigned, Michael R. Murphy, hereby appoints Mark Buckley his true and lawful attorney-in-fact and agent, with full power to execute and file with the United States Securities and Exchange Commission and any stock exchange or similar authority, for and on his behalf in any and all capacities, any and all reports required to be filed pursuant to Section 13 of the
November 25, 2015	SC 13D	CTRL / Control4 Corp / Discovery Group I, LLC - SCHEDULE 13D Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* Control4 Corporation (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 21240D107 (CU
November 25, 2015	EX-3	POWER OF ATTORNEY EXHIBIT 3 POWER OF ATTORNEY The undersigned, Daniel J. Donoghue, hereby appoints Mark Buckley his true and lawful attorney-in-fact and agent, with full power to execute and file with the United States Securities and Exchange Commission and any stock exchange or similar authority, for and on his behalf in any and all capacities, any and all reports required to be filed pursuant to Section 13 of the
November 25, 2015	EX-1	TRANSACTIONS DURING PAST 60 DAYS EXHIBIT 1 TRANSACTIONS DURING PAST 60 DAYS The Reporting Persons engaged in the following transactions in shares of Common Stock of the Company during the past 60 days.
November 25, 2015	EX-2	JOINT FILING AGREEMENT EXHIBIT 2 JOINT FILING AGREEMENT The undersigned hereby agree to the joint filing of the Schedule 13D to which this Agreement is attached.
October 30, 2015	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file num
October 29, 2015	EX-99.1	Control4 Announces Financial Results for Third Quarter 2015 13% Worldwide Core Business Growth Drives Quarterly Profitability and Cash Flow, Furthering Strong Balance Sheet and $2.8 Million Stock Repurchase Exh991 Exhibit 99.1 Control4 Announces Financial Results for Third Quarter 2015 13% Worldwide Core Business Growth Drives Quarterly Profitability and Cash Flow, Furthering Strong Balance Sheet and $2.8 Million Stock Repurchase SALT LAKE CITY ? Oct. 29, 2015 ? Control4 Corporation (NASDAQ: CTRL), a leading provider of automation and control solutions for the connected home, today announced financia
October 29, 2015	8-K	Control4 8-K (Current Report/Significant Event) Current Earnings Release (8K) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
September 10, 2015	SC 13G/A	CTRL / Control4 Corp / PRICE T ROWE ASSOCIATES INC /MD/ - CTRL AS OF 08/31/2015 Passive Investment SC 13G/A 1 ctrl13gaaug15.htm CTRL AS OF 08/31/2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) CONTROL4 CORP (Name of Issuer) COMMON STOCK (Title of Class of Securities) 21240D107 (CUSIP Number) August 31, 2015 (Date of Event which Requires Filing of Statement) Check the appropriate box to designat
August 25, 2015	8-K	Control4 8-K (Current Report/Significant Event) ctrlCurrent folio8K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
August 25, 2015	EX-99.1	Control4 Appoints Mark Novakovich as Chief Financial Officer Exhibit 99.1 Control4 Appoints Mark Novakovich as Chief Financial Officer SALT LAKE CITY — August 25, 2015 — Control4 Corporation (NASDAQ: CTRL), a leading provider of automation and control solutions for the connected home, today announced the appointment of Mark Novakovich as its new Chief Financial Officer. Mr. Novakovich has been with Control4 since 2004 – serving in senior financial leadershi
July 31, 2015	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 0
July 31, 2015	EX-21.1	Subsidiaries of Control4 Corporation Exhibit 21.1 Subsidiaries of Control4 Corporation Control4 EMEA Ltd (United Kingdom) Extra Vegetables Limited (Subsidiary of Control4 EMEA Ltd) Control4 Germany GmbH (Subsidiary of Control4 EMEA Ltd) Control4 HK Limited (Hong Kong) Control4 India Private Limited (India) Control4 Smart Control Technology Shanghai Co., Ltd. (PR China) Control4 Australia Pty Ltd (Australia) Nexus Technologies Holding
July 30, 2015	EX-99.1	Control4 Announces Financial Results for Second Quarter 2015 Record Revenue Quarter; 22% Year-over-Year Revenue Growth PressRel15Q2Earnings Exhibit 99.1 Control4 Announces Financial Results for Second Quarter 2015 Record Revenue Quarter; 22% Year-over-Year Revenue Growth SALT LAKE CITY ? July 30, 2015 ? Control4 Corporation (NASDAQ: CTRL), a leading provider of automation and control solutions for the connected home, today announced financial results for its second quarter ended June 30, 2015. Revenue for the seco
July 30, 2015	8-K	Control4 8-K (Current Report/Significant Event) 201507288k202and502Paisley UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
May 6, 2015	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number
April 30, 2015	EX-99.1	Control4 Announces Financial Results for First Quarter 2015 Exhibit 99.1 Control4 Announces Financial Results for First Quarter 2015 SALT LAKE CITY ? April 30, 2015 ? Control4 Corporation (NASDAQ: CTRL), a leading provider of automation and control solutions for the connected home, today announced financial results for its first quarter ended March 31, 2015. Revenue for the first quarter of 2015 was $32.1 million, compared with revenue of $31.9 million for
April 30, 2015	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition, Submission of Matters to a Vote of Security Holders 8-K 1 a15-1037618k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 28, 2015 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of inc
April 9, 2015	EX-99.1	Control4 Expands Board of Directors Appoints Mark Jensen and Phil Molyneux to Bring Additional Product, Brand, Financial and Operational Expertise to the Board Exhibit 99.1 Control4 Expands Board of Directors Appoints Mark Jensen and Phil Molyneux to Bring Additional Product, Brand, Financial and Operational Expertise to the Board SALT LAKE CITY, UT. ? April 9, 2015 ? Control4 Corporation (NASDAQ: CTRL) today announced that Mark Jensen and Phil Molyneux have joined its Board of Directors. Mr. Jensen will also serve on the Board?s Audit Committee, and Mr.
April 9, 2015	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 DATE OF REPORT (DATE OF EARLIEST EVENT REPORTED): April 9, 2015 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission File
April 2, 2015	DEF 14A	Control4 DEF 14A DEF 14A 1 a2223971zdef14a.htm DEF 14A Use these links to rapidly review the document Table of Contents Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box
February 27, 2015	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 DATE OF REPORT (DATE OF EARLIEST EVENT REPORTED): February 25, 2015 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission
February 27, 2015	EX-99.1	Early-Stage Investors Will Resign from Control4 Board of Directors Resignations Effective as of the Company’s 2015 Annual Meeting of Shareholders in April 2015 Exhibit 99.1 Early-Stage Investors Will Resign from Control4 Board of Directors Resignations Effective as of the Company’s 2015 Annual Meeting of Shareholders in April 2015 Salt Lake City, UT — February 27, 2015, 4:00 PM (ET) — Control4 (NASDAQ: CTRL), a leader in residential and commercial automation systems, today announced the resignations of its remaining early-stage investor board members, Le
February 20, 2015	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 001-3
February 20, 2015	EX-21.1	Subsidiaries of Control4 Corporation Exhibit 21.1 Subsidiaries of Control4 Corporation Control4 EMEA Ltd (United Kingdom) Extra Vegetables Limited (Subsidiary of Control4 EMEA Ltd) Control4 HK Limited (Hong Kong) Control4 India Private Limited (India) Control4 Smart Control Technology Shanghai Co., Ltd. (PR China) Control4 Australia Pty Ltd (Australia) Nexus Technologies Holdings Pty Ltd (Subsidiary of Control4 Australia Pty Ltd) Nex
February 13, 2015	SC 13G/A	CTRL / Control4 Corp / PRICE T ROWE ASSOCIATES INC /MD/ - CTRL AS OF 12/31/2014 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) CONTROL4 CORP (Name of Issuer) COMMON STOCK (Title of Class of Securities) 21240D107 (CUSIP Number) December 31, 2014 (Date of Event which Requires Filing of Statement) Check the appropriate box to designate the Rule pursuant to which this Schedule is fil
February 9, 2015	SC 13G/A	CTRL / Control4 Corp / FOUNDATION CAPITAL IV LP - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 Amendment No.
February 6, 2015	EX-99.E	POWER OF ATTORNEY EX-99.E 6 d865212dex99e.htm EX-99.E Exhibit E POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that Cisco Worldwide Holdings Ltd., a company formed under the laws of the Bermuda, having its registered office at Avenue des Uttins 5, Rolle, Vaud, 1180 Switzerland, hereby constitutes and appoints Prat Bhatt, Roger Biscay, Mark Gorman and Evan Sloves, and each of them, as the undersigned’s true and l
February 6, 2015	EX-99.D	POWER OF ATTORNEY EX-99.D Exhibit D POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that Cisco Systems Global Holdings Ltd., a company formed under the laws of the Bermuda, having its registered office at Avenue des Uttins 5, Rolle, Vaud, 1180 Switzerland, hereby constitutes and appoints Prat Bhatt, Roger Biscay, Mark Gorman and Evan Sloves, and each of them, as the undersigned’s true and lawful attorney-in-fact
February 6, 2015	EX-99.C	POWER OF ATTORNEY EX-99.C 4 d865212dex99c.htm EX-99.C Exhibit C POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that Cisco Systems International SARL, a company formed under the laws of the Switzerland, having its registered office at Avenue des Uttins 5, Rolle, Vaud, 1180 Switzerland, hereby constitutes and appoints Prat Bhatt, Roger Biscay, Mark Gorman and Evan Sloves, and each of them, as the undersigned’s tru
February 6, 2015	EX-99.B	POWER OF ATTORNEY EX-99.B Exhibit B POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that Cisco Systems Netherlands B.V., a company formed under the laws of the Netherlands, having its registered office at Haarlerbergpark, Haarlerbergweg 13-19, 1101 CH, Amsterdam, Netherlands, hereby constitutes and appoints Prat Bhatt, Roger Biscay, Mark Gorman and Evan Sloves, and each of them, as the undersigned’s true and lawf
February 6, 2015	EX-99.A	POWER OF ATTORNEY EX-99.A Exhibit A POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that Cisco Systems International B.V., a company formed under the laws of the Netherlands, having its registered office at Haarlerbergpark, Haarlerbergweg 13-19, 1101 CH, Amsterdam, Netherlands, hereby constitutes and appoints Prat Bhatt, Roger Biscay, Mark Gorman and Evan Sloves, and each of them, as the undersigned’s true and la
February 6, 2015	SC 13G/A	CTRL / Control4 Corp / Cisco Systems International B.V. - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Control4 Corporation (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 21240D107 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to design
February 5, 2015	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 5, 2014 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission F
February 5, 2015	EX-99.1	Control4 Announces Fourth Quarter and Fiscal Year 2014 Financial Results Record Revenue Quarter with 50% Year-over-Year Increase in Non-GAAP Net Income Exhibit 99.1 Control4 Announces Fourth Quarter and Fiscal Year 2014 Financial Results Record Revenue Quarter with 50% Year-over-Year Increase in Non-GAAP Net Income SALT LAKE CITY — Feb. 5, 2015 — Control4 Corporation (NASDAQ: CTRL), a leading provider of automation and control solutions for the connected home, today announced financial results for its fourth quarter and fiscal year ended December
November 26, 2014	EX-99.2	UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL STATEMENTS Exhibit 99.2 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL STATEMENTS On September 10, 2014, Control4 Corporation (“Control4” or the “Company”), through its wholly owned subsidiary, Control4 EMEA, LTD (“Control4 EMEA”), completed the acquisition of Extra Vegetables Limited, a company incorporated in England and Wales (“Extra Vegetables”), pursuant to a Stock Purchase Agreement dated August 28,
November 26, 2014	8-K/A	Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Amendment No. 1 CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 DATE OF REPORT (DATE OF EARLIEST EVENT REPORTED): November 26, 2014 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorpora
November 26, 2014	EX-99.1	EXTRA VEGETABLES LIMITED Audited Financial Statements for the Year Ended January 31, 2014 Unaudited Financial Statements for the Six Months Ended July 31, 2013 and 2014 Exhibit 99.1 EXTRA VEGETABLES LIMITED Audited Financial Statements for the Year Ended January 31, 2014 Unaudited Financial Statements for the Six Months Ended July 31, 2013 and 2014 INDEX TO FINANCIAL STATEMENTS Report of Independent Auditors 2 Balance Sheets 3 Statements of Income 4 Statement of Shareholders’ Equity 5 Statements of Cash Flows 6 Notes to Financial Statements 7 2 REPORT OF INDEPEND
October 31, 2014	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file num
October 30, 2014	EX-99.1	Control4 Drives Record Revenue in the Third Quarter Continues Profitable Growth While Generating Broader Home Automation Adoption Exhibit 99.1 Control4 Drives Record Revenue in the Third Quarter Continues Profitable Growth While Generating Broader Home Automation Adoption SALT LAKE CITY — Oct. 30, 2014 — Control4 Corporation (NASDAQ: CTRL), a leading provider of automation and control solutions for the connected home, today announced financial results for its third quarter ended September 30, 2014. Revenue for the third quar
October 30, 2014	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 DATE OF REPORT (DATE OF EARLIEST EVENT REPORTED): October 28, 2014 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission F
October 30, 2014	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2014 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission F
September 11, 2014	8-K	Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 DATE OF REPORT (DATE OF EARLIEST EVENT REPORTED): September 10, 2014 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission
August 11, 2014	SC 13G/A	CTRL / Control4 Corp / PRICE T ROWE ASSOCIATES INC /MD/ - CTRL AS OF 07/31/2014 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* CONTROL4 CORP (Name of Issuer) COMMON STOCK (Title of Class of Securities) 21240D107 (CUSIP Number) July 31, 2014 (Date of Event which Requires Filing of Statement) Check the appropriate box to designate the Rule pursuant to which this Schedule is filed:
August 4, 2014	S-8	Registration Statement on Form S-8 (File No. 333-197836), filed with the SEC on August 4, 2014, registering 1,139,255 shares of Common Stock pursuant to the Control4 Corporation 2013 Stock Option and Incentive Plan; and As filed with the U.S. Securities and Exchange Commission on August 4, 2014 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 CONTROL4 CORPORATION (Exact name of registrant as specified in its charter) Delaware 42-1583209 (State or other jurisdiction of incorporation or organization) (I.R.S
August 4, 2014	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 0
August 1, 2014	SC 13G/A	CTRL / Control4 Corp / Thomas Weisel Capital Management LLC Passive Investment SC 13G/A 1 ctrla180114.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Control4 Corporation (Name of Issuer) Control4 Corporation (Title of Class of Securities) 21240D107 (CUSIP Number) August 01, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate t
July 31, 2014	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2014 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission File
July 31, 2014	EX-99.1	Control4 Announces Second Quarter 2014 Earnings Operational Execution Combined with Strong EPS EX-99.1 2 a14-181881ex99d1.htm EX-99.1 Exhibit 99.1 Control4 Reports Financial Results for Second Quarter 2014 Control4 Announces Second Quarter 2014 Earnings Operational Execution Combined with Strong EPS SALT LAKE CITY — July 31, 2014 — Control4 Corporation (NASDAQ: CTRL), a leading provider of automation and control solutions for the connected home, today announced financial results for its sec
May 19, 2014	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 DATE OF REPORT (DATE OF EARLIEST EVENT REPORTED): May 14, 2014 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission File
May 16, 2014	8-K	Submission of Matters to a Vote of Security Holders - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 DATE OF REPORT (DATE OF EARLIEST EVENT REPORTED): May 14, 2014 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission File
May 2, 2014	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number
May 1, 2014	EX-99.1	Control4 Announces First Quarter 2014 Earnings Revenue Increases by 20% Year Over Year Exhibit 99.1 Control4 Announces First Quarter 2014 Earnings Revenue Increases by 20% Year Over Year SALT LAKE CITY — May 1, 2014 — Control4 Corporation (NASDAQ: CTRL), a leading provider of automation and control solutions for the connected home, today announced financial results for its first quarter ended March 31, 2014. Revenue for the first quarter of 2014 was $31.9 million, compared with $26.
May 1, 2014	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 1, 2014 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission File N
April 23, 2014	DEF 14A	- DEF 14A Use these links to rapidly review the document Table of Contents Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
February 21, 2014	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Use these links to rapidly review the document Table of Contents INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
February 14, 2014	SC 13G	CTRL / Control4 Corp / Thomas Weisel Capital Management LLC Passive Investment SC 13G 1 ctrl21414.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Control4 Corporation (Name of Issuer) Control4 Corporation (Title of Class of Securities) 21240D107 (CUSIP Number) February 14, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the
February 14, 2014	SC 13G	CTRL / Control4 Corp / FRAZIER TECHNOLOGY VENTURES II L P - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* Control4 Corporation (Name of Issuer) COMMON STOCK, $0.0001 PAR VALUE PER SHARE (Title of Class of Securities) 21240D 10 7 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designa
February 14, 2014	SC 13G	CTRL / Control4 Corp / vSpring III D, L.P. - SC 13G Passive Investment SC 13G 1 a14-59721sc13g.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. )* Control4 Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities
February 13, 2014	SC 13G	CTRL / Control4 Corp / Cisco Systems International B.V. - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Control4 Corporation (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 21240D107 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate
February 13, 2014	EX-99.A	JOINT FILING AGREEMENT EX-99.A Exhibit A JOINT FILING AGREEMENT In accordance with Rule 13(d)-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with each other of the attached statement on Schedule 13G and to all amendments to such statement. IN WITNESS WHEREOF, the undersigned hereby execute this agreement on February 13, 2014. CISCO SYSTEMS INTERNATIONAL B.
February 12, 2014	SC 13G	CTRL / Control4 Corp / PRICE T ROWE ASSOCIATES INC /MD/ - CTRL AS OF 12/31/2013 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* CONTROL4 CORP (Name of Issuer) COMMON STOCK (Title of Class of Securities) 21240D107 (CUSIP Number) December 31, 2013 (Date of Event which Requires Filing of Statement) Check the appropriate box to designate the Rule pursuant to which this Schedule is fil
February 11, 2014	EX-99.1	Control4 Announces Fourth Quarter and Fiscal Year 2013 Earnings Record Revenue Quarter Fueled by 27% Increase in North America EX-99.1 2 a14-54971ex99d1.htm EX-99.1 Exhibit 99.1 Control4 Announces Fourth Quarter and Fiscal Year 2013 Earnings Record Revenue Quarter Fueled by 27% Increase in North America SALT LAKE CITY — Feb 11, 2013 — Control4 Corporation (NASDAQ: CTRL), a leading provider of automation and control solutions for the connected home, today announced financial results for its fourth quarter and fiscal year e
February 11, 2014	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 11, 2014 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission
February 7, 2014	SC 13G	CTRL / Control4 Corp / FOUNDATION CAPITAL IV LP - SC 13G Passive Investment SC 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 Control4 Corporation (Name of Issuer) Common Stock, par value $0.
December 23, 2013	EX-10.1	2 EX-10.1 2 a13-268731ex10d1.htm EX-10.1 Exhibit 10.1 December 21, 2013 BY EMAIL William B. West Re: Separation Agreement Dear Will: This letter confirms the ending of your employment with Control4 Corporation, a Delaware corporation (the “Company”), and sets forth the terms on which you will separate from the Company. As we have discussed, we have agreed to accept your resignation from all position
December 23, 2013	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 21, 2013 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission
December 23, 2013	EX-99.1	Control4 Names Martin Plaehn as Chairman of the Board of Directors Will West, Founder, Stepping Down After Successful Decade Exhibit 99.1 Control4 Names Martin Plaehn as Chairman of the Board of Directors Will West, Founder, Stepping Down After Successful Decade SALT LAKE CITY, UT., December 23, 2013 — Control4 Corporation (NASDAQ: CTRL) today announced that effective as of December 31, 2013, Martin Plaehn, the Company’s President and Chief Executive Officer, has been appointed Chairman of the Company’s Board of Directo
November 1, 2013	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2013 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file
October 31, 2013	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2013 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission F
October 31, 2013	EX-99.1	Control4 Reports Financial Results for Third Quarter 2013 North America Delivers 21% Year-over-Year Revenue Growth Contributing to Strong Net Income EX-99.1 2 a13-232081ex99d1.htm EX-99.1 Exhibit 99.1 Control4 Reports Financial Results for Third Quarter 2013 North America Delivers 21% Year-over-Year Revenue Growth Contributing to Strong Net Income SALT LAKE CITY, UT, October 31, 2013 — Control4 Corporation (NASDAQ: CTRL), a leading provider of automation and control solutions for the connected home, today announced financial results for its th
August 30, 2013	EX-3.1	Amended and Restated Certificate of Incorporation. Exhibit 3.1 SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF CONTROL4 CORPORATION a Delaware corporation Control4 Corporation, a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), hereby certifies as follows: 1. The name of the Corporation is Control4 Corporation. The date of the filing of its original Certificate of Incorporation with the Se
August 30, 2013	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2013 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file numb
August 29, 2013	EX-99.1	Control4 Reports Financial Results for Second Quarter 2013 Exhibit 99.1 Control4 Reports Financial Results for Second Quarter 2013 SALT LAKE CITY, UT, August 29, 2013 — Control4 Corporation (NASDAQ: CTRL), a leading provider of automation and control solutions for the connected home, today announced financial results for its second quarter and first half ending June 30, 2013. Revenue for the second quarter of 2013 was $32.5 million, compared with $27.6 mi
August 29, 2013	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 29, 2013 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 001-36017 42-1583209 (State or other jurisdiction of incorporation) (Commission Fi
August 2, 2013	424B4	4,000,000 Shares Common Stock 424B4 1 a2216198z424b4.htm 424B4 Use these links to rapidly review the document TABLE OF CONTENTS INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Table of Contents Filed Pursuant to Rule 424(b)(4) Registration No. 333-189736 PROSPECTUS 4,000,000 Shares Common Stock This is Control4 Corporation's initial public offering. We are selling 4,000,000 shares of our common stock. The public offering price of o
August 2, 2013	S-8	Registration Statement on Form S-8 (File No. 333-190326), filed with the SEC on August 2, 2013, registering (i) 2,390,401 shares of Common Stock pursuant to the Control4 Corporation 2013 Stock Option and Incentive Plan and (ii) 4,923,918 shares of Common Stock pursuant to the Control4 Corporation 2003 Equity Incentive Plan. As filed with the U.S. Securities and Exchange Commission on August 2, 2013 Registration No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 CONTROL4 CORPORATION (Exact name of registrant as specified in its charter) Delaware 42-1583209 (State or other jurisdiction of incorporation or organization) (I.R.S. Emp
July 30, 2013	CORRESP	- July 30, 2013 United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.
July 30, 2013	CORRESP	- Control4 Corporation 11734 S. Election Road Salt Lake City, Utah 84020 VIA EDGAR AND FACSIMILE July 30, 2013 United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549-4720 Attention: Russell Mancuso, Branch Chief Re: Control4 Corporation Acceleration Request for Registration Statement on Form S-1 File No. 333-189736 Dear Mr. Mancuso: P
July 22, 2013	CORRESP	- Richard A. Kline 650.752.3139 [email protected] Goodwin Procter LLP Counselors at Law 135 Commonwealth Drive Menlo Park, CA 94025 T: 650.752.3100 F: 650.853.1038 July 22, 2013 Russell Mancuso Branch Chief Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 Re: Control4 Corporation Amendment No. 1 to Registration Statement on Form S-1 F
July 22, 2013	EX-3.1.1	CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF CONTROL4 CORPORATION EX-3.1.1 2 a2215893zex-311.htm EX-3.1.1 Exhibit 3.1.1 CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF CONTROL4 CORPORATION The undersigned does hereby certify on behalf of Control4 Corporation (the “Corporation”), a corporation organized and existing under the General Corporation Law of the State of Delaware, as follows: FIRST: That he is the duly elected and a
July 22, 2013	S-1/A	- S-1/A Use these links to rapidly review the document TABLE OF CONTENTS INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Table of Contents As filed with the Securities and Exchange Commission on July 22, 2013 Registration No.
July 22, 2013	8-A12B	- 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Control4 Corporation (Exact name of registrant as specified in its charter) Delaware 42-1583209 (State of incorporation or organization) (I.R.S. Employer Identification No.) 11734 S. Election Road
July 18, 2013	EX-10.9	Relationship Agreement, dated June 27, 2013, between the Registrant and Sanmina Corporation. Exhibit 10.9 Contract No. Relationship Agreement Supplier: Sanmina Corporation Primary Contact: Address: 2700 North First Street Phone: San Jose, California 95134 Email: Fax: Effective Date: June 27, 2013 Web Site: This Relationship Agreement (“Agreement”) is made as of the Effective Date identified above, by and between Control4 Corporation, a Delaware corporation with offices located at 11734 S.
July 18, 2013	EX-4.1	Form of Common Stock certificate of the Registrant. Exhibit 4.1 DELAWARE MARCH 27, 2003 SEAL CONTROL4 CORPORATION CORPORATE COUNTERSIGNED AND REGISTERED: AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC (NEW YORK, NY) TRANSFER AGENT AND REGISTRAR BY: AUTHORIZED SIGNATURE This certifies that is the record holder of Dated: CL INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE FULLY PAID AND NONASSESSABLE SHARES OF COMMON STOCK, $0.0001 PAR VALUE, OF CO
July 18, 2013	S-1/A	- S-1/A S-1/A 1 a2215893zs-1a.htm S-1/A Use these links to rapidly review the document TABLE OF CONTENTS INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Table of Contents As filed with the Securities and Exchange Commission on July 17, 2013 Registration No. 333-189736 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Amendment No. 1 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES
July 18, 2013	EX-3.1.1	CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF CONTROL4 CORPORATION Exhibit 3.1.1 CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF CONTROL4 CORPORATION The undersigned does hereby certify on behalf of Control4 Corporation (the “Corporation”), a corporation organized and existing under the General Corporation Law of the State of Delaware, as follows: FIRST: That he is the duly elected and acting Chief Executive Officer of the Cor
July 18, 2013	EX-10.10	Terms and Conditions Exhibit 10.10 Supplier: Lite-On Electronic Company Ltd. Primary Contact: Address: Phone: Email: Fax: Effective Date: December 3, 2010 Web Site: This OEM Supply Agreement: OEM Design (“Agreement”) is made as of the Effective Date identified above, by and between Control4 Corporation, a Delaware corporation with offices located at 11734 S. Election Road, Salt Lake City, Utah 84020 (“Control4”) and t
July 18, 2013	EX-1.1	Control4 Corporation [ ] Shares of Common Stock UNDERWRITING AGREEMENT Exhibit 1.1 Control4 Corporation [ ] Shares of Common Stock UNDERWRITING AGREEMENT Dated: , 2013 Control4 Corporation [ ] Shares of Common Stock UNDERWRITING AGREEMENT ·, 2013 Merrill Lynch, Pierce, Fenner & Smith Incorporated Raymond James & Associates, Inc. as Representatives of the several Underwriters c/o Merrill Lynch, Pierce, Fenner & Smith Incorporated One Bryant Park New York, New York 100
July 17, 2013	CORRESP	- Richard A. Kline 650.752.3139 [email protected] Goodwin Procter LLP Counselors at Law 135 Commonwealth Drive Menlo Park, CA 94025 T: 650.752.3100 F: 650.853.1038 July 17, 2013 Mr. Russell Mancuso Branch Chief Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 Re: Control4 Corporation Registration Statement on Form S-1 Filed July 1, 20
July 11, 2013	CORRESP	- Goodwin Procter LLP Counselors at Law 135 Commonwealth Drive Menlo Park, CA 94025-1105 T: 650.
July 10, 2013	CORRESP	- Goodwin Procter LLP Counselors at Law 135 Commonwealth Drive Menlo Park, CA 94025-1105 T: 650.
July 1, 2013	EX-21.1	Subsidiaries of Control4 Corporation Exhibit 21.1 Subsidiaries of Control4 Corporation Control4 EMEA Ltd (United Kingdom) Control4 HK Limited (Hong Kong) Control4 India Private Limited (India) Control4 Smart Control Technology Shanghai Co., Ltd. (PR China)
July 1, 2013	EX-10.4	Offer Letter to Martin Plaehn, dated August 20, 2011. Exhibit 10.4 August 20, 2011 Martin Plaehn Dear Martin: On behalf of Control4 Corporation (the “Company”), I am pleased to present you this offer of employment. The terms of this offer, should you accept this opportunity, are as follows: 1. Employment. Effective as of October 17, 2011, or such earlier date as we may mutually agree (the “Start Date”), you will be appointed to serve in a full-time c
July 1, 2013	EX-3.2	SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION CONTROL4 CORPORATION a Delaware corporation Exhibit 3.2 SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF CONTROL4 CORPORATION a Delaware corporation Control4 Corporation, a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), hereby certifies as follows: 1. The name of the Corporation is Control4 Corporation. The date of the filing of its original Certificate of Incorporation with the Se
July 1, 2013	EX-10.3	2013 Stock Option and Incentive Plan and forms of award agreements thereunder. Exhibit 10.3 CONTROL4 CORPORATION 2013 STOCK OPTION AND INCENTIVE PLAN SECTION 1. GENERAL PURPOSE OF THE PLAN; DEFINITIONS The name of the plan is the Control4 Corporation 2013 Stock Option and Incentive Plan (the “Plan”). The purpose of the Plan is to encourage and enable the officers, employees, Non-Employee Directors and other key persons (including Consultants) of Control4 Corporation (the “Co
July 1, 2013	EX-10.10	Terms and Conditions Exhibit 10.10 Supplier: Lite-On Electronic Company Ltd. Primary Contact: Address: Phone: Email: Fax: Effective Date: December 3, 2010 Web Site: This OEM Supply Agreement: OEM Design (“Agreement”) is made as of the Effective Date identified above, by and between Control4 Corporation, a Delaware corporation with offices located at 11734 S. Election Road, Salt Lake City, Utah 84020 (“Control4”) and t
July 1, 2013	EX-10.12	LEASE WDCI, INC. A HAWAII CORPORATION CONTROL 4 CORPORATION, A DELAWARE CORPORATION FOR THE PREMISES LOCATED AT BROADBENT CENTENNIAL PLAZA SALT LAKE CITY, UTAH DATED: JUNE , 2004 Exhibit 10.12 LEASE BETWEEN WDCI, INC. A HAWAII CORPORATION AND CONTROL 4 CORPORATION, A DELAWARE CORPORATION FOR THE PREMISES LOCATED AT BROADBENT CENTENNIAL PLAZA SALT LAKE CITY, UTAH DATED: JUNE , 2004 INDUSTRIAL LEASE THIS LEASE is made this 29th day of June, 2004, by and between WDCI, INC., a Hawaii corporation (“Landlord”) and Control4 Corporation, a Delaware corporation (“Tenant”): 1. BASIC
July 1, 2013	CORRESP	- Richard A. Kline 650.752.3139 rkline@ goodwinprocter.com Goodwin Procter LLP Counselors at Law 135 Commonwealth Drive Menlo Park, CA 94025 T: 650.752.3100 F: 650.853.1038 July 1, 2013 Russell Mancuso Branch Chief Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 Re: Control4 Corporation Confidential Draft Registration Statement on Form S-1 S
July 1, 2013	EX-4.3	WARRANT To Purchase Shares of the Common Stock of CONTROL4 CORPORATION Dated as of October 25, 2010 (the “Effective Date”) Exhibit 4.3 THE SECURITIES REPRESENTED HEREBY HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (“33 ACT” OR ANY STATE SECURITIES LAWS. THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, OR HYPOTHECATED UNLESS THERE IS AN EFFECTIVE REGISTRATION STATEMENT UNDER THE 33 ACT COVERING SUCH SECURITIES, THE TRANSFER IS MADE IN COMPLIANCE WITH RULE 144 PROMULGATED UNDER THE 33 ACT, OR TH
July 1, 2013	EX-10.13	[Signature page follows.] Exhibit 10.13 ADVISOR AGREEMENT WHEREAS Tom Kuhn (“Advisor”) has served as a member of the Board of Directors of Control4 Corporation (“Company”) since April 2010; WHEREAS Advisor desires to resign from the Board of the Directors of the Company effective as of February 28, 2013 (“Effective Date”); WHEREAS the Company desires that Advisor continue to provide the Company with certain consulting serv
July 1, 2013	EX-10.11	Amended and Restated Loan and Security Agreement, dated June 17, 2013, between the Registrant and Silicon Valley Bank. Exhibit 10.11 AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT THIS AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (this “Agreement”) dated as of June 17, 2013 (the “Effective Date”) between SILICON VALLEY BANK, a California corporation with a loan production office located at 2755 East Cottonwood Parkway, Suite 540, Salt Lake City, Utah 84121 (“Bank”), and CONTROL4 CORPORATION, a Delaware corpo
July 1, 2013	S-1	Registration Statement - S-1 S-1 1 a2215704zs-1.htm S-1 Use these links to rapidly review the document TABLE OF CONTENTS INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Table of Contents As filed with the Securities and Exchange Commission on July 1, 2013 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Control4 Corporatio
July 1, 2013	EX-3.3	BYLAWS CONTROL4 CORPORATION EX-3.3 5 a2215704zex-33.htm EX-3.3 Exhibit 3.3 BYLAWS OF CONTROL4 CORPORATION CONTENTS ARTICLE I STOCKHOLDERS 1 Section 1.1 Annual Meetings 1 Section 1.2 Special Meetings 1 Section 1.3 Notice of Meetings 1 Section 1.4 Adjournments 1 Section 1.5 Quorum 1 Section 1.6 Organization 2 Section 1.7 Voting; Proxies 2 Section 1.8 Fixing Date for Determination of Stockholders of Record 2 Section 1.9 List of
July 1, 2013	EX-10.7	Offer Letter to Jeff Dungan, dated August 1, 2006. Exhibit 10.7 [Control4 logo] Control4 Technologies 11734 Election Drive Suite 200 Salt Lake City, UT 84020 801-523-3100 August 1, 2006 Jefferson Dungan 1273 Star Ridge Court Wellington, CO 80549 Subject: Offer of Employment Dear Jefferson, Control4 is pleased to extend an offer of employment to you as Vice President of Manufacturing and Supply Chain Operations reporting to Rhonda Bassett-Spiers, C
July 1, 2013	EX-10.2	2003 Equity Incentive Plan and forms of award agreements thereunder. Exhibit 10.2 CONTROL4 CORPORATION 2003 EQUITY INCENTIVE PLAN SECTION 1. PURPOSE The purpose of the Control4 Corporation 2003 Equity Incentive Plan is to attract, retain and motivate employees, officers, directors, consultants, agents, advisors and independent contractors of Control4 Corporation and its Related Companies by providing them the opportunity to acquire a proprietary interest in the Com
July 1, 2013	EX-10.1	Form of Director and Executive Officer Indemnification Agreement. Exhibit 10.1 FORM OF INDEMNIFICATION AGREEMENT This Indemnification Agreement (“Agreement”) is made as of [ ], 2013 by and between Control4 Corporation, a Delaware corporation (the “Company”), and [ ] (“Indemnitee”). RECITALS WHEREAS, the Company desires to attract and retain the services of highly qualified individuals, such as Indemnitee, to serve the Company; WHEREAS, in order to induce Indemni
July 1, 2013	EX-10.5	EMPLOYMENT AGREEMENT Exhibit 10.5 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) is made and entered into as of July 28, 2003, by and between Control4 Corporation, a Delaware corporation (the “Company”), and William B. West (“Employee”). RECITALS A. Employee is a founder of the Company and had been serving as the Company’s Chief Executive Officer and President since its inception. B. As conditions t
July 1, 2013	EX-3.1	AMENDED AND RESTATED CERTIFICATE OF INCORPORATION CONTROL4 CORPORATION, a Delaware Corporation Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF CONTROL4 CORPORATION, a Delaware Corporation The undersigned docs hereby certify on behalf of Control4 Corporation (the “Corporation”), a corporation organized and existing under the Delaware General Corporation Law, at follows: FIRST: That the undersigned is the duly elected and acting Chief Executive Officer of the Corporation. SEC
July 1, 2013	EX-3.4	Amended and Restated Bylaws. EX-3.4 6 a2214486zex-34.htm EX-3.4 Exhibit 3.4 AMENDED AND RESTATED BY-LAWS OF CONTROL4 CORPORATION (the “Corporation”) ARTICLE I Stockholders SECTION 1. Annual Meeting. The annual meeting of stockholders of the Corporation (any such meeting being referred to in these By-laws as an “Annual Meeting”) shall be held at the hour, date and place within or without the United States which is fixed by the
July 1, 2013	EX-4.5	WARRANT TO PURCHASE STOCK Exhibit 4.5 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF ARTICLE 5 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND APPLICABLE STATE SECURITIES LAW OR, I
July 1, 2013	EX-10.6	EMPLOYMENT AGREEMENT Exhibit 10.6 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) is made and entered into as of , 2007, by and between Control4 Corporation, a Delaware corporation (the “Company”), and Dan Strong (“Employee”). RECITALS WHEREAS, the Company desires to obtain Employee’s continued service and Employee agrees to employment with the Company in accordance with the following terms and condi
July 1, 2013	EX-4.2	CONTROL4 CORPORATION EIGHTH AMENDED AND RESTATED INVESTORS’ RIGHTS AGREEMENT January 21, 2011 Exhibit 4.2 CONTROL4 CORPORATION EIGHTH AMENDED AND RESTATED INVESTORS’ RIGHTS AGREEMENT January 21, 2011 TABLE OF CONTENTS 1. Registration Rights 2 1.1 Definitions 2 1.2 Request for Registration 3 1.3 Company Registration 4 1.4 Form S-3 Registration 6 1.5 Obligations of the Company 7 1.6 Information from Holder 8 1.7 Expenses of Registration 8 1.8 Delay of Registration 9 1.9 Indemnification 9 1.1

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