SEC Form 4 · accession 0001179110-17-007086
CONTROL4 CORP · CTRL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric Anderson
Officer — SVP of Products
Period of report
May 9, 2017
Accepted (ET)
May 11, 2017 · 6:40 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 StockF1 | May 9, 2017 | M | 34,834 | $8.84 | A | 51,597 | D | |
| Common StockF1,F2 | May 9, 2017 | S | 34,834 | $17.71 | D | 16,763 | D | |
| Common StockF1 | May 9, 2017 | M | 17,430 | $8.84 | A | 34,193 | D | |
| Common StockF1,F3 | May 9, 2017 | S | 17,430 | $17.71 | D | 16,763 | D | |
| Common StockF1 | May 10, 2017 | M | 30,749 | $8.84 | A | 47,512 | D | |
| Common StockF1,F4 | May 10, 2017 | S | 30,749 | $17.85 | D | 16,763 | D | |
| Common StockF1 | May 10, 2017 | M | 27,818 | $8.84 | A | 44,581 | D | |
| Common StockF1,F5 | May 10, 2017 | S | 27,818 | $17.83 | D | 16,763 | D | |
| Common StockF1 | May 11, 2017 | M | 36,791 | $8.84 | A | 53,554 | D | |
| Common StockF1,F9 | May 11, 2017 | S | 36,791 | $17.78 | D | 16,763 | D | |
| Common StockF6 | holding | — | — | — | 28 | 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)F7 | $8.84 | May 9, 2017 | M | 34,834 | D | — | Jun 30, 2022 | Common Stock | 34,834 | 92,994 | D |
| Stock Option (right to buy)F8 | $8.84 | May 9, 2017 | M | 17,430 | D | — | Jun 30, 2022 | Common Stock | 17,430 | 27,818 | D |
| Stock Option (right to buy)F7 | $8.84 | May 10, 2017 | M | 30,749 | D | — | Jun 30, 2022 | Common Stock | 30,749 | 62,245 | D |
| Stock Option (right to buy)F8 | $8.84 | May 10, 2017 | M | 27,818 | D | — | Jun 30, 2022 | Common Stock | 27,818 | 0 | D |
| Stock Option (Right to Buy)F7 | $8.84 | May 11, 2017 | M | 36,791 | D | — | Jun 30, 2022 | Common Stock | 36,791 | 25,454 | 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 $17.29 per share to $17.97 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 $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.
- F4This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $17.37 per share to $18.11 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.
- F5This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $17.38. 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.4.
- F6Based on the Reporting Person's most recent 401(k) Plan statement.
- F7Non-qualified Stock Options granted June 30, 2012 are fully vested and exercisable.
- F8Incentive Stock Options granted June 30, 2012 are fully vested and exercisable.
- F9This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $17.59 per share to $17.95 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