SEC Form 4 · accession 0001179110-18-002988
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 27, 2018
Accepted (ET)
Feb 27, 2018 · 6:11 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 27, 2018 | M | 392 | $11.28 | A | 11,350 | D | |
| Common StockF1 | Feb 27, 2018 | S | 392 | $25.00 | D | 10,958 | D | |
| Common StockF2 | 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)F3 | $11.28 | Feb 27, 2018 | M | 392 | D | — | Jun 10, 2023 | Common Stock | 392 | 7,045 | D |
Explanation of responses
- F1Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 20, 2017.
- F2Based on the Reporting Person's most recent 401(k) Plan statement.
- F3Incentive Stock Options granted June 11, 2013, which vested over 4 years and are now fully vested and exercisable.