SEC Form 4 · accession 0001179110-18-008799

CONTROL4 CORP · CTRL

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

Reporting owner

Officer — SVP of Marketing

Period of report

Jun 18, 2018

Accepted (ET)

Jun 19, 2018 · 6:11 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	Jun 18, 2018	M	3,829	$11.28	A	3,829	D
Common Stock^F1,F2	Jun 18, 2018	S	3,829	$25.14	D	0	D
Common Stock^F1	Jun 18, 2018	M	6,555	$11.28	A	6,555	D
Common Stock^F1,F3	Jun 18, 2018	S	6,555	$25.14	D	0	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	$11.28	Jun 18, 2018	M	3,829	D	—	Jun 10, 2023	Common Stock	3,829	0	D
Stock Option (Right to Buy)^F6	$11.28	Jun 18, 2018	M	6,555	D	—	Jun 10, 2023	Common Stock	6,555	5,000	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 $24.88 per share to $25.28 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 $24.87 per share to $25.35 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.
F5Non-qualified Stock Options granted June 11, 2013 that are fully vested.
F6Incentive Stock Options granted June 11, 2013 that are fully vested.