SEC Form 4 · accession 0001179110-18-010443
CONTROL4 CORP · CTRL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin Plaehn
Officer — Chairman, CEO and President · Director
Period of report
Aug 8, 2018
Accepted (ET)
Aug 9, 2018 · 4:14 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 | 71,579 | $20.91 | A | 174,612 | D | |
| Common StockF1,F2 | Aug 8, 2018 | S | 71,579 | $31.74 | D | 103,033 | D | |
| Common StockF1 | Aug 9, 2018 | M | 38,421 | $20.91 | A | 141,454 | D | |
| Common StockF1,F3 | Aug 9, 2018 | S | 38,421 | $31.55 | D | 103,033 | D | |
| Common StockF4 | holding | — | — | — | 775 | 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 | $20.91 | Aug 8, 2018 | M | 71,579 | D | — | Feb 27, 2024 | Common Stock | 71,579 | 48,421 | D |
| Stock Option (Right to Buy)F5 | $20.91 | Aug 9, 2018 | M | 38,421 | D | — | Feb 27, 2024 | Common Stock | 38,421 | 10,000 | D |
Explanation of responses
- 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 $31.40 per share to $32.10 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 $30.76 per share to $31.93 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 February 28, 2014 that are fully vested.