Filing Details
- Accession Number:
- 0001179110-17-013963
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-11-09 18:20:49
- Reporting Period:
- 2017-11-07
- Accepted Time:
- 2017-11-09 18:20:49
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1259515 | Control4 Corp | CTRL | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1229280 | Martin Plaehn | C/O Control4 Corporation 11734 S. Election Road Salt Lake City UT 84020 | Chairman, Ceo And President | Yes | 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 | 2017-11-07 | 117,137 | $6.14 | 169,257 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-11-07 | 117,137 | $33.02 | 52,120 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-11-08 | 53,295 | $6.14 | 105,415 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-11-08 | 53,295 | $32.13 | 52,120 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-11-09 | 51,568 | $6.14 | 103,688 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-11-09 | 51,568 | $30.63 | 52,120 | 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 | 2017-11-07 | 117,137 | $0.00 | 117,137 | $6.14 |
| Common Stock | Stock Option (right to buy) | Disposition | 2017-11-08 | 53,295 | $0.00 | 53,295 | $6.14 |
| Common Stock | Stock Option (right to buy) | Disposition | 2017-11-09 | 51,568 | $0.00 | 51,568 | $6.14 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 421,935 | 2021-09-28 | No | 4 | M | Direct | |
| 368,640 | 2021-09-28 | No | 4 | M | Direct | |
| 317,072 | 2021-09-28 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 498 | Indirect | By 401(k) Plan |
Footnotes
- Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 16, 2017.
- This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $32.32 per share to $33.77 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 $31.65 per share to $32.82 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 $29.57 per share to $31.46 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.
- Based on the Reporting Person's most recent 401(k) Plan statement.
- Non-qualified Stock Options granted September 29, 2011 that are fully vested and exercisable.
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