SEC Form 4 · accession 0001179110-18-002200
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
Feb 13, 2018
Accepted (ET)
Feb 15, 2018 · 6:16 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 | Feb 13, 2018 | M | 41,585 | $11.28 | A | 93,705 | D | |
| Common StockF1,F2 | Feb 13, 2018 | S | 41,585 | $24.51 | A | 52,120 | D | |
| Common StockF3 | 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)F4 | $11.28 | Feb 13, 2018 | M | 41,585 | A | — | Jun 10, 2023 | Common Stock | 41,585 | 29,568 | 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 $24.21 per share to $25.02 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 June 11, 2013 that are fully vested and exercisable.