SEC Form 4 · accession 0001179110-18-010693
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 15, 2018
Accepted (ET)
Aug 17, 2018 · 6:18 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 15, 2018 | M | 5,036 | $6.14 | A | 117,815 | D | |
| Common StockF1,F2 | Aug 15, 2018 | S | 5,036 | $31.91 | D | 112,779 | D | |
| Common StockF1 | Aug 15, 2018 | M | 18,750 | $11.28 | A | 131,529 | D | |
| Common StockF1,F3 | Aug 15, 2018 | S | 18,750 | $31.71 | D | 112,779 | D | |
| Common StockF1 | Aug 15, 2018 | M | 18,744 | $6.14 | A | 131,523 | D | |
| Common StockF1,F4 | Aug 15, 2018 | S | 18,744 | $31.38 | D | 112,779 | D | |
| Common StockF1 | Aug 16, 2018 | M | 36,933 | $6.14 | A | 149,712 | D | |
| Common StockF1,F5 | Aug 16, 2018 | S | 36,933 | $31.71 | D | 112,779 | D | |
| Common StockF1 | Aug 17, 2018 | M | 9,511 | $6.14 | A | 122,290 | D | |
| Common StockF1,F6 | Aug 17, 2018 | S | 9,511 | $31.61 | D | 112,779 | D | |
| Common StockF1 | Aug 17, 2018 | M | 15,406 | $6.14 | A | 128,185 | D | |
| Common StockF1,F7 | Aug 17, 2018 | S | 15,406 | $32.08 | D | 112,779 | D | |
| Common StockF8 | 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)F9 | $6.14 | Aug 15, 2018 | M | 5,036 | D | — | Jan 22, 2024 | Common Stock | 5,036 | 0 | D |
| Stock Option (Right to Buy)F10 | $11.28 | Aug 15, 2018 | M | 18,750 | D | — | Jun 10, 2023 | Common Stock | 18,750 | 6,250 | D |
| Stock Option (Right to Buy)F11 | $6.14 | Aug 15, 2018 | M | 18,744 | D | — | Sep 28, 2021 | Common Stock | 18,744 | 46,444 | D |
| Stock Option (Right to Buy)F11 | $6.14 | Aug 16, 2018 | M | 36,933 | D | — | Sep 28, 2021 | Common Stock | 36,933 | 9,511 | D |
| Stock Option (Right to Buy)F11 | $6.14 | Aug 17, 2018 | M | 9,511 | D | — | Sep 28, 2021 | Common Stock | 9,511 | 0 | D |
| Stock Option (Right to Buy)F12 | $6.14 | Aug 17, 2018 | M | 15,406 | D | — | Sep 28, 2021 | Common Stock | 15,406 | 0 | D |
Explanation of responses
- F1Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 22, 2018.
- F10Incentive Stock Options granted June 11, 2013 that are fully vested.
- F11Incentive Stock Options granted September 29, 2011 that are fully vested.
- F12Non-qualified Stock Options granted September 29, 2011 that are fully vested.
- F2This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $31.57 per share to $32.20 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 $31.40 per share to $32.38 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.
- F4This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $31.20 per share to $31.63 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.
- F5This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $31.46 per share to $31.95 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.
- F6This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $31.28 per share to $31.87 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.
- F7This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $31.81 per share to $32.29 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.
- F8Shares held in Reporting Person's 401(k) Plan.
- F9Non-qualified Stock Options granted January 23, 2014 that were fully vested.