SEC Form 4 · accession 0001179110-16-025857
CONTROL4 CORP · CTRL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jefferson Dungan
Officer — SVP Bus. Development
Period of report
May 31, 2016
Accepted (ET)
Jun 2, 2016 · 12:13 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 | May 31, 2016 | M | 28,044 | $2.496 | A | 28,044 | D | |
| Common StockF1 | holding | — | — | — | 25 | I | By 401(k) Plan |
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)F2 | $2.496 | May 31, 2016 | M | 28,044 | A | — | Sep 20, 2016 | Common Stock | 28,044 | 20,032 | D |
Explanation of responses
- F1On August 9, 2013 the reporting person acquired 25 shares in his 401(k) Plan.
- F2The option vested as to 1/4th of the shares subject to the option on August 14, 2007 and an additional 1/48th of the shares vested monthly thereafter.