Upgrade to SI Premium - Free Trial

Form 3 CONTROL4 CORP For: Feb 06 Filed by: Thomas Maria

February 8, 2018 5:32 PM
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0104
Expires: December 31, 2014
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person *
Thomas Maria

(Last) (First) (Middle)
C/O CONTROL4 CORPORATION
11734 SOUTH ELECTION ROAD

(Street)
SANDY UT 84020

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
02/06/2018
3. Issuer Name and Ticker or Trading Symbol
CONTROL4 CORP [ CTRL ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
/s/ Greg Bishop, attorney-in-fact for Maria Thomas 02/08/2018
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
LIMITED POWER OF ATTORNEY

      The  undersigned  hereby  constitutes  and appoints each of Martin Plaehn,
Mark  Novakovich,  Greg  Bishop and Richard Kline, signing singly, and with full
power of substitution, the undersigned's true and lawful attorney-in-fact to:

      (1)  execute  for  and  on behalf of the undersigned, in the undersigned's
capacity  as an officer and/or director of Control4 Corporation (the "Company"),
from  time to time the following U.S. Securities and Exchange Commission ("SEC")
forms:  (i)  Form ID, including any attached documents, to effect the assignment
of codes to the undersigned to be used in the transmission of information to the
SEC  using  the  EDGAR  System;  (ii)  Form  3,  Initial Statement of Beneficial
Ownership  of  Securities,  including  any  attached  documents;  (iii)  Form 4,
Statement  of  Changes  in  Beneficial  Ownership  of  Securities, including any
attached  documents;  (iv)  Form  5, Annual Statement of Beneficial Ownership of
Securities  in  accordance  with Section 16(a) of the Securities Exchange Act of
1934,  as  amended,  and the rules thereunder, including any attached documents;
(v)  Schedule  13D  and  (vi) amendments of each thereof, in accordance with the
Securities Exchange Act of 1934, as amended, and the rules thereunder, including
any attached documents;

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

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

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

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

      IN  WITNESS  WHEREOF, the undersigned has caused this Power of Attorney to
be executed as of February 6, 2018.

                                          /s/ Maria Thomas
                                          --------------------------------------

Categories

SEC Filings

Next Articles