SEC Form 4 · accession 0001179110-18-010440
CONTROL4 CORP · CTRL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan Cashen
Officer — SVP of Marketing
Period of report
Aug 8, 2018
Accepted (ET)
Aug 9, 2018 · 4:10 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 StockF1 | Aug 8, 2018 | M | 2,801 | $20.91 | A | 2,801 | D | |
| Common StockF1 | Aug 8, 2018 | S | 2,801 | $31.42 | D | 0 | D | |
| Common StockF1 | Aug 8, 2018 | M | 2,199 | $20.91 | A | 2,199 | D | |
| Common StockF1 | Aug 8, 2018 | S | 2,199 | $31.42 | D | 0 | D | |
| Common StockF2 | holding | — | — | — | 686 | 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)F3 | $20.91 | Aug 8, 2018 | M | 2,801 | D | — | Feb 27, 2024 | Common Stock | 2,801 | 0 | D |
| Stock Option (Right to Buy)F4 | $20.91 | Aug 8, 2018 | M | 2,199 | D | — | Feb 27, 2024 | Common Stock | 2,199 | 0 | D |
Explanation of responses
- F1Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 22, 2018.
- F2Shares held in Reporting Person's 401(k) Plan.
- F3Non-qualified Stock Options granted February 28, 2014 that are fully vested.
- F4Incentive Stock Options granted February 28, 2014 that are fully vested.