SEC Form 4 · accession 0001179110-18-000067
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
Dec 28, 2017
Accepted (ET)
Jan 2, 2018 · 3:02 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 | Dec 28, 2017 | M | 14,384 | $20.91 | A | 17,388 | D | |
| Common StockF1,F2 | Dec 28, 2017 | S | 14,384 | $30.54 | D | 3,004 | D | |
| Common StockF3 | holding | — | — | — | 314 | 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)F4 | $20.91 | Dec 28, 2017 | M | 14,384 | D | — | Feb 27, 2024 | Common Stock | 14,384 | 0 | 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 $30.19 per share to $31.01 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.
- F3Based on the Reporting Person's most recent 401(k) Plan statement.
- F4Non-qualified Stock Options granted February 28, 2014, 20,000 shares were included in the original grant with vesting over four years. Note that this grant was split into this NSO of 14,384 shares and a related ISO of 5,616 shares.