SEC Form 4 · accession 0001179110-18-012616
CONTROL4 CORP · CTRL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bryce Judd
Officer — SVP of Sales
Period of report
Nov 6, 2018
Accepted (ET)
Nov 6, 2018 · 6:36 pm EST
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 | Nov 6, 2018 | M | 2,083 | $8.16 | A | 2,083 | D | |
| Common StockF1 | Nov 6, 2018 | S | 2,083 | $22.80 | D | 0 | D | |
| Common StockF2 | holding | — | — | — | 743 | 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 | $8.16 | Nov 6, 2018 | M | 2,083 | D | — | Jun 29, 2026 | Common Stock | 2,083 | 20,342 | D |
Explanation of responses
- F1Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 13, 2017.
- F2Shares held in Reporting Person's 401(k) Plan.
- F3Incentive Stock Options granted June 30, 2016 that vest over four years.