SEC Form 4 · accession 0001179110-18-003984
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
Mar 8, 2018
Accepted (ET)
Mar 9, 2018 · 5:42 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 | Mar 8, 2018 | M | 1,600 | $15.37 | A | 12,558 | D | |
| Common StockF1,F2 | Mar 8, 2018 | S | 1,600 | $25.01 | D | 10,958 | D | |
| Common StockF1 | Mar 8, 2018 | M | 1,247 | $11.28 | A | 12,205 | D | |
| Common StockF1,F3 | Mar 8, 2018 | S | 1,247 | $25.00 | D | 10,958 | D | |
| Common StockF1 | Mar 8, 2018 | M | 6,937 | $11.28 | A | 17,895 | D | |
| Common StockF1,F4 | Mar 8, 2018 | S | 6,937 | $25.06 | D | 10,958 | D | |
| Common StockF1 | Mar 8, 2018 | M | 9,757 | $9.93 | A | 20,715 | D | |
| Common StockF1,F5 | Mar 8, 2018 | S | 9,757 | $25.06 | D | 10,958 | D | |
| Common StockF1 | Mar 8, 2018 | M | 7,692 | $6.34 | A | 18,650 | D | |
| Common StockF1,F6 | Mar 8, 2018 | S | 7,692 | $25.07 | D | 10,958 | D | |
| Common StockF1 | Mar 8, 2018 | M | 4,423 | $6.14 | A | 15,381 | D | |
| Common StockF1,F7 | Mar 8, 2018 | S | 4,423 | $25.04 | D | 10,958 | D | |
| Common StockF1 | Mar 8, 2018 | M | 108 | $11.28 | A | 11,066 | D | |
| Common StockF1 | Mar 8, 2018 | S | 108 | $25.00 | D | 10,958 | D | |
| Common StockF1 | Mar 8, 2018 | M | 208 | $15.37 | A | 11,166 | D | |
| Common StockF1 | Mar 8, 2018 | S | 208 | $25.00 | D | 10,958 | D | |
| Common StockF1 | Mar 8, 2018 | M | 4,807 | $4.89 | A | 15,765 | D | |
| Common StockF1,F8 | Mar 8, 2018 | S | 4,807 | $25.04 | D | 10,958 | D | |
| Common StockF1 | Mar 8, 2018 | M | 105 | $20.91 | A | 11,063 | D | |
| Common StockF1 | Mar 8, 2018 | S | 105 | $25.00 | D | 10,958 | D | |
| Common StockF1 | Mar 8, 2018 | M | 1,923 | $4.89 | A | 12,881 | D | |
| Common StockF1,F9 | Mar 8, 2018 | S | 1,923 | $25.01 | D | 10,958 | D | |
| Common StockF1 | Mar 8, 2018 | M | 9,626 | $4.89 | A | 20,584 | D | |
| Common StockF1,F10 | Mar 8, 2018 | S | 9,626 | $25.06 | D | 10,958 | D | |
| Common StockF1 | Mar 8, 2018 | M | 9,778 | $6.14 | A | 20,736 | D | |
| Common StockF1,F11 | Mar 8, 2018 | S | 9,778 | $25.06 | D | 10,958 | D | |
| Common StockF1,F12 | Mar 8, 2018 | S | 9,774 | $25.06 | D | 1,184 | D | |
| Common StockF13 | 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)F14 | $15.37 | Mar 8, 2018 | M | 1,600 | D | — | Dec 30, 2024 | Common Stock | 1,600 | 0 | D |
| Stock Option (right to buy)F15 | $11.28 | Mar 8, 2018 | M | 1,247 | D | — | Jun 10, 2023 | Common Stock | 1,247 | 0 | D |
| Stock Option (right to buy)F16 | $11.28 | Mar 8, 2018 | M | 6,937 | D | — | Jun 10, 2023 | Common Stock | 6,937 | 108 | D |
| Stock Option (right to buy)F17 | $9.93 | Mar 8, 2018 | M | 9,757 | D | — | Dec 25, 2022 | Common Stock | 9,757 | 4,666 | D |
| Stock Option (right to buy)F18 | $6.34 | Mar 8, 2018 | M | 7,692 | D | — | Dec 28, 2021 | Common Stock | 7,692 | 0 | D |
| Stock Option (right to buy)F19 | $6.14 | Mar 8, 2018 | M | 4,423 | D | — | May 25, 2021 | Common Stock | 4,423 | 10,000 | D |
| Stock Option (right to buy)F20 | $11.28 | Mar 8, 2018 | M | 108 | D | — | Jun 10, 2023 | Common Stock | 108 | 0 | D |
| Stock Option (right to buy)F21 | $15.37 | Mar 8, 2018 | M | 208 | D | — | Dec 30, 2024 | Common Stock | 208 | 2,084 | D |
| Stock Option (right to buy)F22 | $4.89 | Mar 8, 2018 | M | 4,807 | D | — | Jan 14, 2020 | Common Stock | 4,807 | 0 | D |
| Stock Option (right to buy)F23 | $20.91 | Mar 8, 2018 | M | 105 | D | — | Feb 27, 2024 | Common Stock | 105 | 0 | D |
| Stock Option (right to buy)F24 | $4.89 | Mar 8, 2018 | M | 1,923 | D | — | Dec 18, 2018 | Common Stock | 1,923 | 0 | D |
| Stock Option (right to buy)F25 | $4.89 | Mar 8, 2018 | M | 9,626 | D | — | May 21, 2018 | Common Stock | 9,626 | 0 | D |
| Stock Option (right to buy)F26 | $6.14 | Mar 8, 2018 | M | 9,778 | D | — | May 25, 2021 | Common Stock | 9,778 | 222 | D |
Explanation of responses
- F1Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 20, 2017.
- F10This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $25.00 per share to $25.21 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.
- F11This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $25.00 per share to $25.21 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.
- F12This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $25.00 per share to $25.21 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.
- F13Based on the Reporting Person's most recent 401(k) Plan statement.
- F14Non-qualified Stock Options granted December 31, 2014 that vest over four years.
- F15Non-qualified Stock Options granted June 11, 2013, which vested over 4 years and are now fully vested and exercisable.
- F16Incentive Stock Options granted June 11, 2013, which vested over 4 years and are now fully vested and exercisable.
- F17Incentive Stock Options granted December 26, 2012, which vested over 4 years and are now fully vested and exercisable.
- F18Incentive Stock Options granted December 29, 2011, which vested over 4 years and are now fully vested and exercisable.
- F19Incentive Stock Options granted May 26, 2011, 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 $25.08 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.
- F20Incentive Stock Options granted June 11, 2013, which vested over 4 years and are now fully vested and exercisable.
- F21Incentive Stock Options granted December 31, 2014 that vest over four years.
- F22Incentive Stock Options granted January 15, 2010, which vested over 4 years and are now fully vested and exercisable.
- F23Incentive Stock Options granted February 28, 2014, which vested over 4 years and are now fully vested and exercisable.
- F24Incentive Stock Options granted December 19, 2008, which vested over 4 years and are now fully vested and exercisable.
- F25Incentive Stock Options granted May 22, 2008, which vested over 4 years and are now fully vested and exercisable.
- F26Incentive Stock Options granted May 26, 2011, which vested over 4 years and are now fully vested and exercisable.
- F3This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $25.00 per share to $25.09 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 $25.20 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 $25.21 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 $25.20 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.
- F7This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $25.00 per share to $25.21 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.
- F8This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $25.00 per share to $25.18 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.
- F9This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $25.00 per share to $25.08 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.