SEC Form 4 · accession 0001179110-17-014684
CONTROL4 CORP · CTRL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeremy A Jaech
Director
Period of report
Nov 27, 2017
Accepted (ET)
Nov 29, 2017 · 11:25 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 Stock | Nov 27, 2017 | M | 13,267 | $11.72 | A | 31,002 | D | |
| Common StockF1 | Nov 27, 2017 | S | 4,868 | $34.45 | D | 26,134 | D | |
| Common Stock | Nov 27, 2017 | M | 14,934 | $16.97 | A | 41,068 | D | |
| Common StockF2 | Nov 27, 2017 | S | 7,933 | $34.50 | D | 33,135 | D |
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 | $11.72 | Nov 27, 2017 | M | 13,267 | D | — | Apr 29, 2025 | Common Stock | 13,267 | 0 | D |
| Stock Option (right to buy)F4 | $16.97 | Nov 27, 2017 | M | 14,934 | D | — | May 29, 2024 | Common Stock | 14,934 | 0 | D |
Explanation of responses
- F1This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $34.41 per share to $34.50 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.
- F2This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $34.50 per share to $34.54 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 April 30, 2015, which vested over 1 year and are now fully vested and exercisable.
- F4Non-qualified Stock Options granted May 30, 2014, which vested over 3 years and are now fully vested and exercisable.