SEC Form 4 · accession 0001179110-17-007083

CONTROL4 CORP · CTRL

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — GC, Chief Compl. Officer, Sec

Period of report

May 9, 2017

Accepted (ET)

May 11, 2017 · 5:58 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^F1	May 9, 2017	M	12,500	$4.888	A	26,795	D
Common Stock^F1,F2	May 9, 2017	S	12,500	$17.65	D	14,295	D
Common Stock^F1	May 10, 2017	M	8,643	$4.88	A	22,938	D
Common Stock^F1,F3	May 10, 2017	S	8,643	$18.05	D	14,295	D
Common Stock^F4	holding	—	—		—	177	I	By 401(K) Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (right to buy)^F5	$4.88	May 9, 2017	M	12,500	D	—	May 22, 2018	Common Stock	12,500	18,264	D
Stock Option (right to buy)^F5	$4.88	May 10, 2017	M	8,643	D	—	May 22, 2018	Common Stock	8,643	9,626	D

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 $17.29 per share to $17.96 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 $18.00 per share to $18.10 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.
F4Based on the Reporting Person's most recent 401(K) plan statement.
F5Incentive Stock Option granted on May 22, 2008 are fully vested and exercisable.