SEC Form 4 · accession 0001179110-17-013963
CONTROL4 CORP · CTRL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin Plaehn
Officer — Chairman, CEO and President · Director
Period of report
Nov 7, 2017
Accepted (ET)
Nov 9, 2017 · 6:20 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 | Nov 7, 2017 | M | 117,137 | $6.14 | A | 169,257 | D | |
| Common StockF1,F2 | Nov 7, 2017 | S | 117,137 | $33.02 | D | 52,120 | D | |
| Common StockF1 | Nov 8, 2017 | M | 53,295 | $6.14 | A | 105,415 | D | |
| Common StockF1,F3 | Nov 8, 2017 | S | 53,295 | $32.13 | D | 52,120 | D | |
| Common StockF1 | Nov 9, 2017 | M | 51,568 | $6.14 | A | 103,688 | D | |
| Common StockF1,F4 | Nov 9, 2017 | S | 51,568 | $30.63 | D | 52,120 | D | |
| Common StockF5 | holding | — | — | — | 498 | 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)F6 | $6.14 | Nov 7, 2017 | M | 117,137 | D | — | Sep 28, 2021 | Common Stock | 117,137 | 421,935 | D |
| Stock Option (right to buy)F6 | $6.14 | Nov 8, 2017 | M | 53,295 | D | — | Sep 28, 2021 | Common Stock | 53,295 | 368,640 | D |
| Stock Option (right to buy)F6 | $6.14 | Nov 9, 2017 | M | 51,568 | D | — | Sep 28, 2021 | Common Stock | 51,568 | 317,072 | D |
Explanation of responses
- F1Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 16, 2017.
- F2This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $32.32 per share to $33.77 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 $31.65 per share to $32.82 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 $29.57 per share to $31.46 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.
- F5Based on the Reporting Person's most recent 401(k) Plan statement.
- F6Non-qualified Stock Options granted September 29, 2011 that are fully vested and exercisable.