SEC Form 4 · accession 0001179110-17-002639
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 15, 2017
Accepted (ET)
Feb 17, 2017 · 1:41 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 | Feb 15, 2017 | M | 2,680 | $6.14 | A | 30,724 | D | |
| Common StockF1,F2 | Feb 15, 2017 | S | 2,680 | $15.28 | D | 28,044 | D | |
| Common StockF1 | Feb 15, 2017 | M | 6,935 | $6.14 | A | 34,979 | D | |
| Common StockF1,F2 | Feb 15, 2017 | S | 6,935 | $15.28 | D | 28,044 | D | |
| Common StockF1 | Feb 15, 2017 | M | 6,045 | $7.49 | A | 34,089 | D | |
| Common StockF1,F2 | Feb 15, 2017 | S | 6,045 | $15.28 | D | 28,044 | D | |
| Common StockF1 | Feb 15, 2017 | M | 26,674 | $7.49 | A | 54,718 | D | |
| Common StockF1,F2 | Feb 15, 2017 | S | 26,674 | $15.28 | D | 28,044 | D | |
| Common StockF1 | Feb 15, 2017 | M | 2,639 | $6.34 | A | 30,683 | D | |
| Common StockF1,F2 | Feb 15, 2017 | S | 2,639 | $15.28 | D | 28,044 | D | |
| Common StockF1 | Feb 15, 2017 | M | 2,168 | $6.34 | A | 30,212 | D | |
| Common StockF1,F2 | Feb 15, 2017 | S | 2,168 | $15.28 | D | 28,044 | D | |
| Common StockF1 | Feb 15, 2017 | M | 1,279 | $9.15 | A | 29,323 | D | |
| Common StockF1,F2 | Feb 15, 2017 | S | 1,279 | $15.28 | D | 28,044 | D | |
| Common StockF1 | Feb 16, 2017 | M | 11,942 | $9.15 | A | 39,986 | D | |
| Common StockF1,F3 | Feb 16, 2017 | S | 11,942 | $14.98 | D | 28,044 | D | |
| Common StockF1 | Feb 16, 2017 | M | 6,009 | $9.15 | A | 34,053 | D | |
| Common StockF1,F3 | Feb 16, 2017 | S | 6,009 | $14.89 | D | 28,044 | D | |
| Common StockF4 | 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)F5 | $6.14 | Feb 15, 2017 | M | 2,680 | D | — | May 25, 2021 | Common Stock | 2,680 | 0 | D |
| Stock Option (right to buy)F6 | $6.14 | Feb 15, 2017 | M | 6,935 | D | — | May 25, 2021 | Common Stock | 6,935 | 0 | D |
| Stock Option (right to buy)F7 | $7.49 | Feb 15, 2017 | M | 6,045 | D | — | Jul 8, 2020 | Common Stock | 6,045 | 0 | D |
| Stock Option (right to buy)F8 | $7.49 | Feb 15, 2017 | M | 26,674 | D | — | Jul 8, 2020 | Common Stock | 26,674 | 0 | D |
| Stock Option (right to buy)F9 | $6.34 | Feb 15, 2017 | M | 2,639 | D | — | Dec 28, 2021 | Common Stock | 2,639 | 0 | D |
| Stock Option (right to buy)F10 | $6.34 | Feb 15, 2017 | M | 2,168 | D | — | Dec 28, 2021 | Common Stock | 2,168 | 0 | D |
| Stock Option (right to buy)F11 | $9.15 | Feb 15, 2017 | M | 1,279 | D | — | Sep 27, 2022 | Common Stock | 1,279 | 11,942 | D |
| Stock Option (right to buy)F11 | $9.15 | Feb 16, 2017 | M | 11,942 | D | — | Sep 27, 2022 | Common Stock | 11,942 | 0 | D |
| Stock Option (right to buy)F12 | $9.15 | Feb 16, 2017 | M | 6,009 | D | — | Sep 27, 2022 | Common Stock | 6,009 | 0 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan established by the Reporting Person.
- F10Non-qualified Stock Options granted December 29, 2011 are fully vested and exercisable.
- F11Incentive Options granted September 28, 2012 are fully vested and exercisable.
- F12Non-Qualified Options granted September 28, 2012 are fully vested and exercisable.
- F2This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $15.13 per share to $15.49 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 $14.71 per share to $15.19 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.
- F4On August 9, 2013 the reporting person acquired 25 shares of Common Stock in his 401(k) Plan.
- F5Non-qualified Stock Options granted May 26, 2011 are fully vested and exercisable.
- F6Incentive Stock Options granted May 26, 2011 are fully vested and exercisable.
- F7Non-qualified Stock Options granted July 9, 2010 are fully vested and exercisable.
- F8Incentive Stock Options granted July 9, 2010 are fully vested and exercisable.
- F9Incentive Stock Options granted December 29, 2011 are fully vested and exercisable.