SEC Form 4 · accession 0001179110-18-002913
CONTROL4 CORP · CTRL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Greg Bishop
Officer — GC, Chief Compl. Officer, Sec
Period of report
Feb 26, 2018
Accepted (ET)
Feb 26, 2018 · 6:21 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 26, 2018 | M | 2,708 | $15.37 | A | 17,003 | D | |
| Common StockF1 | Feb 26, 2018 | S | 2,708 | $25.00 | D | 14,295 | D | |
| Common StockF1 | Feb 26, 2018 | M | 3,400 | $15.37 | A | 17,695 | D | |
| Common StockF1,F2 | Feb 26, 2018 | S | 3,400 | $25.01 | D | 14,295 | D | |
| Common StockF1 | Feb 26, 2018 | M | 1,480 | $20.91 | A | 15,775 | D | |
| Common StockF1 | Feb 26, 2018 | S | 1,480 | $25.00 | D | 14,295 | D | |
| Common StockF1 | Feb 26, 2018 | M | 3,415 | $20.91 | A | 17,710 | D | |
| Common StockF1,F3 | Feb 26, 2018 | S | 3,415 | $25.01 | D | 14,295 | D | |
| Common StockF1 | Feb 26, 2018 | M | 3,400 | $11.28 | A | 17,695 | D | |
| Common StockF1,F4 | Feb 26, 2018 | S | 3,400 | $25.01 | D | 14,295 | D | |
| Common StockF1 | Feb 26, 2018 | M | 3,300 | $11.28 | A | 17,595 | D | |
| Common StockF1,F5 | Feb 26, 2018 | S | 3,300 | $25.01 | D | 14,295 | D | |
| Common StockF1,F6 | Feb 26, 2018 | S | 3,337 | $25.01 | D | 10,958 | D | |
| Common StockF7 | holding | — | — | — | 454 | 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)F8 | $15.37 | Feb 26, 2018 | M | 2,708 | D | — | Dec 30, 2024 | Common Stock | 2,708 | 2,292 | D |
| Stock Option (right to buy)F9 | $15.37 | Feb 26, 2018 | M | 3,400 | D | — | Dec 30, 2024 | Common Stock | 3,400 | 1,600 | D |
| Stock Option (right to buy)F10 | $20.91 | Feb 26, 2018 | M | 1,480 | D | — | Feb 27, 2024 | Common Stock | 1,480 | 105 | D |
| Stock Option (right to buy)F11 | $20.91 | Feb 26, 2018 | M | 3,415 | D | — | Feb 27, 2024 | Common Stock | 3,415 | 0 | D |
| Stock Option (right to buy)F12 | $11.28 | Feb 26, 2018 | M | 3,400 | D | — | Jun 10, 2023 | Common Stock | 3,400 | 1,247 | D |
| Stock Option (right to buy)F13 | $11.28 | Feb 26, 2018 | M | 3,300 | D | — | Jun 10, 2023 | Common Stock | 3,300 | 7,437 | D |
Explanation of responses
- F1Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 20, 2017.
- F10Incentive Stock Options granted February 28, 2014 that vest over four years.
- F11Non-qualified Stock Options granted February 28, 2014 that vest over four years.
- F12Non-qualified Stock Options granted June 11, 2013, which vested over 4 years and are now fully vested and exercisable.
- F13Incentive Stock Options granted June 11, 2013, which vested over 4 years and are now fully vested and exercisable.
- F2This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $25.00 per share to $25.04 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 $25.00 per share to $25.03 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 $25.00 per share to $25.05 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.
- F5This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $25.00 per share to $25.04 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.
- F6This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $25.00 per share to $25.05 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.
- F7Based on the Reporting Person's most recent 401(k) Plan statement.
- F8Incentive Stock Options granted December 31, 2014 that vest over four years.
- F9Non-qualified Stock Options granted December 31, 2014 that vest over four years.