SEC Form 4 · accession 0001179110-18-003985
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 9, 2018
Accepted (ET)
Mar 9, 2018 · 5:48 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 9, 2018 | M | 4,666 | $9.93 | A | 5,850 | D | |
| Common StockF1,F2 | Mar 9, 2018 | S | 4,666 | $25.19 | D | 1,184 | D | |
| Common StockF1 | Mar 9, 2018 | M | 222 | $6.14 | A | 1,406 | D | |
| Common StockF1 | Mar 9, 2018 | S | 222 | $25.26 | D | 1,184 | D | |
| Common StockF1,F3 | Mar 9, 2018 | S | 1,184 | $25.32 | D | 0 | D | |
| Common StockF4 | 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)F5 | $9.93 | Mar 9, 2018 | M | 4,666 | D | — | Dec 25, 2022 | Common Stock | 4,666 | 0 | D |
| Stock Option (right to buy)F6 | $6.14 | Mar 9, 2018 | M | 222 | D | — | May 25, 2021 | Common Stock | 222 | 0 | D |
Explanation of responses
- F1Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 20, 2017.
- F2This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $25.00 per share to $25.50 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 $25.22 per share to $25.48 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.
- F5Incentive Stock Options granted December 26, 2012, which vested over 4 years and are now fully vested and exercisable.
- F6Incentive Stock Options granted May 26, 2011, which vested over 4 years and are now fully vested and exercisable.