SEC Form 4 · accession 0001179110-17-007264
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 12, 2017
Accepted (ET)
May 16, 2017 · 1:22 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 StockF1 | May 12, 2017 | M | 25,454 | $8.84 | A | 42,217 | D | |
| Common StockF1,F2 | May 12, 2017 | S | 25,454 | $17.44 | D | 16,763 | D | |
| Common StockF4 | 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)F3 | $8.84 | May 12, 2017 | M | 25,454 | D | — | Jun 30, 2022 | Commom Stock | 25,454 | 0 | 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 $17.20 per share to $17.69 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.
- F3Non-qualified Stock Options granted June 30, 2012 are fully vested and exercisable
- F4Based on the Reporting person's 401(K) Plan Statement.