SEC Form 4 · accession 0001179110-18-006999

CONTROL4 CORP · CTRL

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

Reporting owner

Officer — SVP of Marketing

Period of report

May 16, 2018

Accepted (ET)

May 17, 2018 · 3:27 pm EDT

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	May 16, 2018	M	1,923	$4.89	A	5,389	D
Common Stock^F1,F2	May 16, 2018	S	1,923	$24.04	D	3,466	D
Common Stock^F1	May 16, 2018	M	5,022	$4.89	A	8,488	D
Common Stock^F1,F3	May 16, 2018	S	5,022	$24.21	D	3,466	D
Common Stock^F4	holding	—	—		—	582	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	$4.89	May 16, 2018	M	1,923	D	—	Jan 14, 2020	Common Stock	1,923	0	D
Stock Option (right to buy)^F6	$4.89	May 16, 2018	M	5,022	D	—	Oct 31, 2019	Common Stock	5,022	40,170	D

F1Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 22, 2018.
F2This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $24.14 per share to $23.90 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 $24.42 per share to $23.90 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.
F4Shares held in Reporting Person's 401(k) Plan.
F5Incentive Stock Options granted January 15, 2010 that vest over four years.
F6Incentive Stock Options granted September 1, 2009 that vest over four years.