SEC Form 4 · accession 0001179110-19-000705
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
Jan 11, 2019
Accepted (ET)
Jan 14, 2019 · 4:14 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 | Jan 11, 2019 | M | 796 | $8.16 | A | 796 | D | |
| Common StockF1 | Jan 11, 2019 | S | 796 | $20.00 | D | 0 | D | |
| Common StockF1 | Jan 11, 2019 | M | 246 | $8.16 | A | 246 | D | |
| Common StockF1 | Jan 11, 2019 | S | 246 | $20.00 | D | 0 | D | |
| Common StockF2 | holding | — | — | — | 753 | 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 | Jan 11, 2019 | M | 796 | D | — | Jun 29, 2026 | Common Stock | 796 | 18,504 | D |
| Stock Option (Right to Buy)F4 | $8.16 | Jan 11, 2019 | M | 246 | D | — | Jun 29, 2026 | Common Stock | 246 | 246 | 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 are fully vested.
- F4Non-Qualified Stock Options granted June 30, 2016 that are fully vested