UNITED STATESSECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

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FORM 10-Q/A

Amendment No. 1

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(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 001-36017

 

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Control4 Corporation

(Exact name of registrant as specified in its charter)

 

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| Delaware(State or other jurisdiction of incorporation or organization)             |      | 42-1583209(I.R.S. Employer Identification No.) |
|------------------------------------------------------------------------------------|--------------------------|------------------------------------------------|
|                                                                               |                     |                                           |
| 11734 S. Election RoadSalt Lake City, Utah(Address of principal executive offices) |                     | 84020(Zip Code)                                |

 

(801) 523-3100(Registrant’s telephone number, including area code)

 

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Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.  Yes ☒    No ☐

 

Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).  Yes ☒    No ☐

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer or a smaller reporting company. See definition of “accelerated filer”, “large accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act.

 

|                                          |   |                                    |
|-----------------------------------------------|--------|-----------------------------------------|
| Large accelerated filer ☐         |   | Accelerated filer ☒         |
|                                          |   |                                    |
| Non-accelerated filer ☐           |   | Smaller reporting company ☐ |
| (do not check if a smaller reporting company) |   |                                    |

 

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).  Yes ☐ No ☒

 

On July 23, 2015,  24,267,944 shares of the registrant’s Common Stock, $0.0001 par value, were outstanding.

 

			 		

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EXPLANATORY NOTE

 

We are amending this Form 10-Q for the quarter ended June 30, 2015 (the “Original Filing”) by modifying Exhibits 31.1 and 31.2 to include additional required language regarding our certification of our internal controls over financial reporting of the Company. Because no financial statements are filed with this Amendment No. 1, paragraph 3 of the certifications has been omitted and the certifications pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 have not been included.

 

Information in this Amendment is as of the date of the Original Filing and does not reflect any subsequent information or events occurring after the date of the Original Filing, except to reflect the changes noted above. Accordingly, the Amendment should be read in conjunction with our filings made with the Securities and Exchange Commission subsequent to the Original Filing. The filing of this Amendment to our Quarterly Report on Form 10-Q shall not be deemed an admission that the Original Filing or any subsequent amendment, when made, included any untrue statement of a material fact or omitted to state a material fact necessary to make a statement not misleading.

 

			 		

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SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

|                              |   |   |                                         |
|-----------------------------------|--------|--------|----------------------------------------------|
|                              |   |   |                                         |
| Date:  December 3, 2015 |   |   | CONTROL4 CORPORATION                         |
|                              |   |   |                                         |
|                              |   | By:    | /s/ Mark Novakovich                          |
|                              |   |   | Mark Novakovich                              |
|                              |   |   | Chief Financial Officer                      |
|                              |   |   | (Principal Financial and Accounting Officer) |

 

 

			 		

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