SEC Form 4 · accession 0001179110-17-014355
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
Nov 17, 2017
Accepted (ET)
Nov 20, 2017 · 11:47 am 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 17, 2017 | M | 7,083 | $15.37 | A | 28,353 | D | |
| Common StockF1,F2 | Nov 17, 2017 | S | 7,083 | $33.90 | D | 21,270 | D | |
| Common StockF1 | Nov 17, 2017 | M | 4,167 | $20.91 | A | 25,437 | D | |
| Common StockF1,F3 | Nov 17, 2017 | S | 4,167 | $34.04 | D | 21,270 | D | |
| Common StockF1,F4 | Nov 17, 2017 | S | 18,266 | $33.42 | D | 3,004 | D | |
| Common StockF5 | 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)F6 | $15.37 | Nov 17, 2017 | M | 7,083 | D | — | Dec 30, 2024 | Common Stock | 7,083 | 417 | D |
| Stock Option (right to buy)F7 | $20.91 | Nov 17, 2017 | M | 4,167 | D | — | Feb 27, 2024 | Common Stock | 4,167 | 1,449 | D |
Explanation of responses
- F1Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 18, 2017.
- F2This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $33.48 per share to $34.33 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 $33.64 per share to $34.33 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 $32.65 per share to $34.33 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 December 31, 2014, 10,000 shares were included in the original grant with vesting over four years. Note that this grant was split into this NSO of 7,500 shares and a related ISO of 2,500 shares.
- F7Non-qualified Stock Options granted February 28, 2014 that vest over four years.