SEC Form 4 · accession 0001179110-18-003152

CONTROL4 CORP · CTRL

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — SVP of Sales

Period of report

Mar 1, 2018

Accepted (ET)

Mar 1, 2018 · 4:54 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 Stock^F1	Mar 1, 2018	M	6,496	$8.16	A	6,496	D
Common Stock^F1,F2	Mar 1, 2018	S	6,496	$23.56	D	0	D
Common Stock^F1	Mar 1, 2018	M	14,337	$8.16	A	14,337	D
Common Stock^F1,F3	Mar 1, 2018	S	14,337	$23.45	D	0	D
Common Stock^F4	holding	—	—		—	462	I	By 401(k) Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (right to buy)^F5	$8.16	Mar 1, 2018	M	6,496	D	—	Jun 29, 2026	Common Stock	6,496	492	D
Stock Option (right to buy)^F6	$8.16	Mar 1, 2018	M	14,337	D	—	Jun 29, 2026	Common Stock	14,337	28,675	D

F1Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 13, 2017.
F2This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $23.20 per share to $24.16 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 $23.14 per share to $24.16 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.
F4Based on the Reporting Person's most recent 401(k) Plan statement.
F5Non-qualified Stock Options granted June 30, 2016 that vest over four years.
F6Incentive Stock Options granted June 30, 2016 that vest over four years.