SEC Form 4 · accession 0001179110-16-029777
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
Sep 16, 2016
Accepted (ET)
Sep 19, 2016 · 11:59 am 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 StockF1 | Sep 16, 2016 | M | 20,032 | $2.496 | A | 48,076 | D | |
| Common StockF1,F2 | Sep 16, 2016 | S | 20,032 | $10.82 | D | 28,044 | D | |
| Common StockF3 | 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)F4 | $2.496 | Sep 16, 2016 | M | 20,032 | A | — | Sep 20, 2016 | Common Stock | 20,032 | 0 | D |
Explanation of responses
- F1Pursuant to a 10b5-1 Trading Plan established by the Reporting Person.
- F2This price represents the weighted average sale price for various open market sales through a broker-dealer ranging from $10.53 to $11.12 per share. Full information regarding the number of shares sold at each price will be provided upon request by the SEC or a security holder of the Issuer.
- F3On August 9, 2013 the reporting person acquired 25 shares in his 401(k) Plan.
- F4The option vested as to 1/4th of the shares on September 21, 2007, and an additional 1/48th of the shares vested monthly thereafter.