SEC Form 4 · accession 0001179110-18-002456
CONTROL4 CORP · CTRL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Novakovich
Officer — Chief Financial Officer
Period of report
Feb 20, 2018
Accepted (ET)
Feb 20, 2018 · 7:33 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 20, 2018 | M | 2,107 | $6.34 | A | 47,235 | D | |
| Common StockF1,F2 | Feb 20, 2018 | S | 2,107 | $24.99 | D | 45,128 | D | |
| Common StockF1 | Feb 20, 2018 | M | 2,204 | $6.14 | A | 47,332 | D | |
| Common StockF1,F3 | Feb 20, 2018 | S | 2,204 | $25.01 | D | 45,128 | D | |
| Common StockF1,F4 | Feb 20, 2018 | S | 23,991 | $24.97 | D | 21,137 | D | |
| Common StockF5 | holding | — | — | — | 496 | 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 | $6.34 | Feb 20, 2018 | M | 2,107 | D | — | Dec 28, 2021 | Common Stock | 2,107 | 0 | D |
| Stock Option (right to buy)F7 | $6.14 | Feb 20, 2018 | M | 2,204 | D | — | May 25, 2021 | Common Stock | 2,204 | 0 | D |
Explanation of responses
- F1Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 8, 2017.
- F2This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $24.71 per share to $25.29 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 $24.71 per share to $25.31 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 $24.71 per share to $25.31 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 29, 2011, which vested over 4 years and are now fully vested and exercisable.
- F7Non-qualified Stock Options granted May 26, 2011, which vested over 4 years and are now fully vested and exercisable.