Filing Details
- Accession Number:
- 0001179110-18-010693
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-08-17 18:18:56
- Reporting Period:
- 2018-08-15
- Accepted Time:
- 2018-08-17 18:18:56
- 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 | 2018-08-15 | 5,036 | $6.14 | 117,815 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-08-15 | 5,036 | $31.91 | 112,779 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-08-15 | 18,750 | $11.28 | 131,529 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-08-15 | 18,750 | $31.71 | 112,779 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-08-15 | 18,744 | $6.14 | 131,523 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-08-15 | 18,744 | $31.38 | 112,779 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-08-16 | 36,933 | $6.14 | 149,712 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-08-16 | 36,933 | $31.71 | 112,779 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-08-17 | 9,511 | $6.14 | 122,290 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-08-17 | 9,511 | $31.61 | 112,779 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-08-17 | 15,406 | $6.14 | 128,185 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-08-17 | 15,406 | $32.08 | 112,779 | 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 | |
| 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 | 2018-08-15 | 5,036 | $0.00 | 5,036 | $6.14 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-08-15 | 18,750 | $0.00 | 18,750 | $11.28 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-08-15 | 18,744 | $0.00 | 18,744 | $6.14 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-08-16 | 36,933 | $0.00 | 36,933 | $6.14 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-08-17 | 9,511 | $0.00 | 9,511 | $6.14 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-08-17 | 15,406 | $0.00 | 15,406 | $6.14 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2024-01-22 | No | 4 | M | Direct | |
| 6,250 | 2023-06-10 | No | 4 | M | Direct | |
| 46,444 | 2021-09-28 | No | 4 | M | Direct | |
| 9,511 | 2021-09-28 | No | 4 | M | Direct | |
| 0 | 2021-09-28 | No | 4 | M | Direct | |
| 0 | 2021-09-28 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 775 | Indirect | By 401(k) Plan |
Footnotes
- Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 22, 2018.
- This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $31.57 per share to $32.20 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 $31.40 per share to $32.38 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 $31.20 per share to $31.63 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 $31.46 per share to $31.95 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 $31.28 per share to $31.87 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 $31.81 per share to $32.29 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.
- Shares held in Reporting Person's 401(k) Plan.
- Non-qualified Stock Options granted January 23, 2014 that were fully vested.
- Incentive Stock Options granted June 11, 2013 that are fully vested.
- Incentive Stock Options granted September 29, 2011 that are fully vested.
- Non-qualified Stock Options granted September 29, 2011 that are fully vested.
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