Filing Details
- Accession Number:
- 0001179110-14-016050
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-04 16:01:56
- Reporting Period:
- 2014-10-31
- Filing Date:
- 2014-11-04
- Accepted Time:
- 2014-11-04 16:01:56
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1259515 | Control4 Corp | CTRL | Electronic Components & Accessories (3670) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1582774 | B. James Arnold | C/O Control4 Corporation 11734 S. Election Road Salt Lake City UT 84020 | Svp Of Sales | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-10-31 | 20,000 | $2.65 | 20,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-10-31 | 20,000 | $15.00 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-11-03 | 4,807 | $3.59 | 4,807 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-11-03 | 4,807 | $15.79 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-11-03 | 2,519 | $4.89 | 2,519 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-11-03 | 2,519 | $15.79 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2014-10-31 | 20,000 | $0.00 | 20,000 | $2.65 |
| Common Stock | Stock Option (right to buy) | Disposition | 2014-11-03 | 4,807 | $0.00 | 4,807 | $3.59 |
| Common Stock | Stock Option (right to buy) | Disposition | 2014-11-03 | 2,519 | $0.00 | 2,519 | $4.89 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 49,653 | 2017-03-01 | No | 4 | M | Direct | |
| 44,846 | 2017-12-10 | No | 4 | M | Direct | |
| 42,327 | 2018-12-18 | No | 4 | M | Direct |
Footnotes
- Pursuant to a Rule 10b5-1 trading plan established by the Reporting Person.
- This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $15.72 per share to $15.865 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.
- The option became exercisable as to 1/4th of the shares subject to the option on February 19, 2008 and 1/48th of the shares subject to the option vested on the 19th of the month each month thereafter.
- The option became exercisable as to 1/4th of the shares subject to the option on December 11, 2008 and 1/48th of the shares subject to the option vested on the 11th of the month each month thereafter.
- The option became exercisable as to 1/4th of the shares subject to the option on December 19, 2009 and 1/48th of the shares subject to the option vested on the 19th of the month each month thereafter.
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