SEC Form 4 · accession 0001179110-18-009769

CONTROL4 CORP · CTRL

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

Reporting owner

Officer — SVP of Marketing

Period of report

Jul 16, 2018

Accepted (ET)

Jul 17, 2018 · 5:56 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	Jul 16, 2018	M	5,022	$4.89	A	5,022	D
Common Stock^F1,F2	Jul 16, 2018	S	5,022	$25.07	D	0	D
Common Stock^F1	Jul 16, 2018	M	2,500	$11.28	A	2,500	D
Common Stock^F1,F3	Jul 16, 2018	S	2,500	$25.16	D	0	D
Common Stock^F4	holding	—	—		—	687	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	Jul 16, 2018	M	5,022	D	—	Oct 31, 2019	Common Stock	5,022	35,148	D
Stock Option (Right to Buy)^F6	$11.28	Jul 16, 2018	M	2,500	D	—	Jun 10, 2023	Common Stock	2,500	2,500	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 $24.92 per share to $25.31 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 $25.05 per share to $25.30 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 September 1, 2009 that are fully vested.
F6Incentive Stock Options granted June 11, 2013 that are fully vested.