SEC Form 4 · accession 0001179110-17-005218
CONTROL4 CORP · CTRL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Greg Bishop
Officer — GC, Chief Compl. Officer, Sec
Period of report
Mar 29, 2017
Accepted (ET)
Mar 30, 2017 · 1:07 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 |
|---|---|---|---|---|---|---|---|---|
| Commom Stock | Mar 29, 2017 | M | 12,500 | $4.888 | A | 26,795 | D | |
| Common Stock | Mar 29, 2017 | S | 12,500 | $16.00 | D | 14,295 | 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 | Mar 29, 2017 | M | 12,500 | D | — | May 21, 2018 | Common Stock | 12,500 | 30,769 | D |
Explanation of responses
- F1The option became exercisable as to 1/4 of the shares subject to the option on May 22, 2009 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.