SEC Form 4 · accession 0001179110-19-002238
CONTROL4 CORP · CTRL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan Cashen
Officer — SVP of Marketing
Period of report
Feb 19, 2019
Accepted (ET)
Feb 21, 2019 · 4:36 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 | Feb 19, 2019 | M | 5,016 | $4.88 | A | 14,877 | D | |
| Common StockF1 | Feb 19, 2019 | S | 5,016 | $17.93 | D | 9,861 | D | |
| Common StockF1 | Feb 20, 2019 | S | 9,861 | $17.83 | D | 0 | D | |
| Common StockF2 | holding | — | — | — | 854 | 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 | $4.89 | Feb 19, 2019 | M | 5,016 | D | — | Aug 31, 2019 | Common Stock | 5,016 | 0 | D |
Explanation of responses
- F1Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 22, 2018.
- F2Shares held in Reporting Person's 401(k) Plan.
- F3Incentive Stock Options granted September 1, 2009 that are fully vested.