SEC Form 4 · accession 0001179110-17-002469
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
Feb 14, 2017
Accepted (ET)
Feb 15, 2017 · 6:40 pm EST
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,F2 | Feb 14, 2017 | S | 16,764 | $14.71 | D | 28,044 | D | |
| Common StockF1 | Feb 14, 2017 | M | 4,807 | $3.59 | A | 32,851 | D | |
| Common StockF1,F3 | Feb 14, 2017 | S | 4,807 | $14.87 | D | 28,044 | D | |
| Common StockF1 | Feb 14, 2017 | M | 4,807 | $4.89 | A | 32,851 | D | |
| Common StockF1,F3 | Feb 14, 2017 | S | 4,807 | $14.87 | D | 28,044 | D | |
| Common StockF1 | Feb 14, 2017 | M | 9,615 | $4.89 | A | 37,659 | D | |
| Common StockF1,F3 | Feb 14, 2017 | S | 9,615 | $14.87 | D | 28,044 | D | |
| Common StockF1 | Feb 14, 2017 | M | 5,741 | $7.49 | A | 33,785 | D | |
| Common StockF1,F3 | Feb 14, 2017 | S | 5,741 | $14.87 | D | 28,044 | D | |
| Common StockF8 | 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 | $3.59 | Feb 14, 2017 | M | 4,807 | D | — | Dec 10, 2017 | Common Stock | 4,807 | 0 | D |
| Stock Option (right to buy)F5 | $4.89 | Feb 14, 2017 | M | 4,807 | D | — | Dec 18, 2018 | Common Stock | 4,807 | 0 | D |
| Stock Option (right to buy)F6 | $4.89 | Feb 14, 2017 | M | 9,615 | D | — | Jan 14, 2020 | Common Stock | 9,615 | 0 | D |
| Stock Option (right to buy)F7 | $7.49 | Feb 14, 2017 | M | 5,741 | D | — | Jul 8, 2020 | Common Stock | 5,741 | 26,674 | D |
Explanation of responses
- F1Pursuant to a Rule 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 $13.96 per share to $14.78 per share. Full information regarding the number of shares sold at each price will be provided upon request from the SEC, the Issuer or a security holder.
- F3This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $14.00 per share to $15.38 per share. Full information regarding the number of shares sold at each price will be provided upon request from the SEC, the Issuer or a security holder.
- F4Options granted December 11, 2007 are fully vested and exercisable.
- F5Options granted December 19, 2009 are fully vested and exercisable.
- F6Options granted January 15, 2015 are fully vested and exercisable.
- F7Options granted July 9, 2010 are fully vested and exercisable.
- F8On August 9, 2013 the reporting person acquired 25 shares of Common Stock in his 401(k) Plan. Note that this item was inadvertently left off of the Form 4 filed by the reporting person on February 14, 2017.