Filing Details
- Accession Number:
- 0001179110-17-002639
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-17 13:41:48
- Reporting Period:
- 2017-02-15
- Filing Date:
- 2017-02-17
- Accepted Time:
- 2017-02-17 13:41:48
- 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 |
|---|---|---|---|---|---|---|---|
| 1582777 | Jefferson Dungan | C/O Control4 Corporation 11734 S. Election Road Salt Lake City UT 84020 | Svp Bus. Development | 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 | 2017-02-15 | 2,680 | $6.14 | 30,724 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-15 | 2,680 | $15.28 | 28,044 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-02-15 | 6,935 | $6.14 | 34,979 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-15 | 6,935 | $15.28 | 28,044 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-02-15 | 6,045 | $7.49 | 34,089 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-15 | 6,045 | $15.28 | 28,044 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-02-15 | 26,674 | $7.49 | 54,718 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-15 | 26,674 | $15.28 | 28,044 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-02-15 | 2,639 | $6.34 | 30,683 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-15 | 2,639 | $15.28 | 28,044 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-02-15 | 2,168 | $6.34 | 30,212 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-15 | 2,168 | $15.28 | 28,044 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-02-15 | 1,279 | $9.15 | 29,323 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-15 | 1,279 | $15.28 | 28,044 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-02-16 | 11,942 | $9.15 | 39,986 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-16 | 11,942 | $14.98 | 28,044 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-02-16 | 6,009 | $9.15 | 34,053 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-16 | 6,009 | $14.89 | 28,044 | 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 | |
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| No | 4 | S | Direct | |
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| 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 | 2017-02-15 | 2,680 | $0.00 | 2,680 | $6.14 |
| Common Stock | Stock Option (right to buy) | Disposition | 2017-02-15 | 6,935 | $0.00 | 6,935 | $6.14 |
| Common Stock | Stock Option (right to buy) | Disposition | 2017-02-15 | 6,045 | $0.00 | 6,045 | $7.49 |
| Common Stock | Stock Option (right to buy) | Disposition | 2017-02-15 | 26,674 | $0.00 | 26,674 | $7.49 |
| Common Stock | Stock Option (right to buy) | Disposition | 2017-02-15 | 2,639 | $0.00 | 2,639 | $6.34 |
| Common Stock | Stock Option (right to buy) | Disposition | 2017-02-15 | 2,168 | $0.00 | 2,168 | $6.34 |
| Common Stock | Stock Option (right to buy) | Disposition | 2017-02-15 | 1,279 | $0.00 | 1,279 | $9.15 |
| Common Stock | Stock Option (right to buy) | Disposition | 2017-02-16 | 11,942 | $0.00 | 11,942 | $9.15 |
| Common Stock | Stock Option (right to buy) | Disposition | 2017-02-16 | 6,009 | $0.00 | 6,009 | $9.15 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2021-05-25 | No | 4 | M | Direct | |
| 0 | 2021-05-25 | No | 4 | M | Direct | |
| 0 | 2020-07-08 | No | 4 | M | Direct | |
| 0 | 2020-07-08 | No | 4 | M | Direct | |
| 0 | 2021-12-28 | No | 4 | M | Direct | |
| 0 | 2021-12-28 | No | 4 | M | Direct | |
| 11,942 | 2022-09-27 | No | 4 | M | Direct | |
| 0 | 2022-09-27 | No | 4 | M | Direct | |
| 0 | 2022-09-27 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 25 | Indirect | By 401(k) Plan |
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 $15.13 per share to $15.49 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.
- This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $14.71 per share to $15.19 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.
- On August 9, 2013 the reporting person acquired 25 shares of Common Stock in his 401(k) Plan.
- Non-qualified Stock Options granted May 26, 2011 are fully vested and exercisable.
- Incentive Stock Options granted May 26, 2011 are fully vested and exercisable.
- Non-qualified Stock Options granted July 9, 2010 are fully vested and exercisable.
- Incentive Stock Options granted July 9, 2010 are fully vested and exercisable.
- Incentive Stock Options granted December 29, 2011 are fully vested and exercisable.
- Non-qualified Stock Options granted December 29, 2011 are fully vested and exercisable.
- Incentive Options granted September 28, 2012 are fully vested and exercisable.
- Non-Qualified Options granted September 28, 2012 are fully vested and exercisable.
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