SEC Form 4 · accession 0001179110-15-011390
CONTROL4 CORP · CTRL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher B Paisley
Director
Period of report
Jul 21, 2015
Accepted (ET)
Jul 21, 2015 · 4:09 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001259515
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jul 21, 2015 | M | 8,270 | $4.888 | A | 53,349 | D | |
| Common Stock | Jul 21, 2015 | M | 26,923 | $6.136 | A | 80,272 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $4.888 | Jul 21, 2015 | M | 8,270 | D | — | Jan 14, 2020 | Common Stock | 8,270 | 0 | D |
| Stock Option (right to buy)F2 | $6.136 | Jul 21, 2015 | M | 26,923 | D | — | May 25, 2021 | Common Stock | 26,923 | 0 | D |
Explanation of responses
- F1The option became exercisable as to 1/4th the shares subject to the option on January 1, 2011 and 1/48th of the shares subject to the option vest monthly thereafter, subject to the reporting person's continuous service to the Issuer on each such date.
- F2The option became exercisable as to 1/4th the shares subject to the option on January 1, 2012and 1/48th of the shares subject to the option vest monthly thereafter, subject to the reporting person's continuous service to the Issuer on each such date.