SEC Form 4 · accession 0001179110-18-010789

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 20, 2018

Accepted (ET)

Aug 22, 2018 · 5:48 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	Aug 20, 2018	M	33,570	$6.14	A	146,349	D
Common Stock^F1,F2	Aug 20, 2018	S	33,570	$32.23	D	112,779	D
Common Stock^F1	Aug 20, 2018	M	5,036	$6.14	A	117,815	D
Common Stock^F1,F3	Aug 20, 2018	S	5,036	$32.60	D	112,779	D
Common Stock^F1	Aug 20, 2018	M	5,036	$6.14	A	117,815	D
Common Stock^F1,F4	Aug 20, 2018	S	5,036	$32.59	D	112,779	D
Common Stock^F1	Aug 21, 2018	M	1,284	$6.14	A	114,063	D
Common Stock^F1,F5	Aug 21, 2018	S	1,284	$32.53	D	112,779	D
Common Stock^F1	Aug 21, 2018	M	162,948	$6.14	A	275,727	D
Common Stock^F1,F6	Aug 21, 2018	S	162,948	$34.53	D	112,779	D
Common Stock^F1	Aug 22, 2018	M	4,124	$6.14	A	116,903	D
Common Stock^F1	Aug 22, 2018	S	4,124	$35.19	D	112,779	D
Common Stock^F7	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)^F8	$6.14	Aug 20, 2018	M	33,570	D	—	Sep 28, 2021	Common Stock	33,570	0	D
Stock Option (Right to Buy)^F8	$6.14	Aug 20, 2018	M	5,036	D	—	Sep 28, 2021	Common Stock	5,036	0	D
Stock Option (Right to Buy)^F8	$6.14	Aug 20, 2018	M	5,036	D	—	Sep 28, 2021	Common Stock	5,036	0	D
Stock Option (Right to Buy)^F8	$6.14	Aug 21, 2018	M	1,284	D	—	Sep 28, 2021	Common Stock	1,284	0	D
Stock Option (Right to Buy)^F9	$6.14	Aug 21, 2018	M	162,948	D	—	Sep 28, 2021	Common Stock	162,948	154,124	D
Stock Option (Right to Buy)^F9	$6.14	Aug 22, 2018	M	4,124	D	—	Sep 28, 2021	Common Stock	4,124	150,000	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 $31.68 per share to $32.65 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 $32.47 per share to $32.71 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 $32.47 per share to $32.72 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 $32.36 per share to $32.61 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 $32.23 per share to $35.46 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.
F7Shares held in Reporting Person's 401(k) Plan.
F8Non-qualified Stock Options granted September 29, 2011 that are fully vested.
F9Incentive Stock Options granted September 29, 2011 that are fully vested.