NOVAKOVICH MARK (Chief Financial Officer) exercised options at CONTROL4 CORP

Option exercise — a mechanical event triggered by vesting or expiry. Not a discretionary conviction trade.

M · 4 exercises

NOVAKOVICH MARK

Filed: 5/16/2019ACC: 0001179110-19-006206

InsiderNOVAKOVICH MARKCIK 1652225

→

IssuerCONTROL4 CORPCIK 1259515

Officer· Chief Financial Officer

Since Aug 2018

-1.79K

Net shares

Net seller

$42.5K

Total sold

Open market trades

0B · 0S

Total transactions

6.11K acquired · 7.90K disposed

Non-Derivative Transactions8

Common Stock

Direct

M · Option Exercise

+2K

Price / share

—

Trade value

—

% of position

7.2%

5/15/2019

27.65K→29.65K

Common Stock

Direct

F · Tax Withholding

−586.00

Price / share

$23.76

Trade value

$13.92K

% of position

2.0%

5/15/2019

29.65K→29.07K

Common Stock

Direct

M · Option Exercise

+2K

Price / share

—

Trade value

—

% of position

6.9%

5/15/2019

29.07K→31.07K

Common Stock

Direct

F · Tax Withholding

−586.00

Price / share

$23.76

Trade value

$13.92K

% of position

1.9%

5/15/2019

31.07K→30.48K

Common Stock

Direct

M · Option Exercise

+1.05K

Price / share

—

Trade value

—

% of position

3.5%

5/15/2019

30.48K→31.54K

Common Stock

Direct

F · Tax Withholding

−309.00

Price / share

$23.76

Trade value

$7.34K

% of position

1.0%

5/15/2019

31.54K→31.23K

Common Stock

Direct

M · Option Exercise

+1.05K

Price / share

—

Trade value

—

% of position

3.4%

5/15/2019

31.23K→32.28K

Common Stock

Direct

F · Tax Withholding

−309.00

Price / share

$23.76

Trade value

$7.34K

% of position

1.0%

5/15/2019

32.28K→31.97K

Total

Net shares

+4.32K

Net value

-$42.53K

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Direct	5/15/2019	M · Option Exercise	+2K	—	—	7.2%	27.65K	29.65K
Common Stock Direct	5/15/2019	F · Tax Withholding	−586.00	$23.76	$13.92K	2.0%	29.65K	29.07K
Common Stock Direct	5/15/2019	M · Option Exercise	+2K	—	—	6.9%	29.07K	31.07K
Common Stock Direct	5/15/2019	F · Tax Withholding	−586.00	$23.76	$13.92K	1.9%	31.07K	30.48K
Common Stock Direct	5/15/2019	M · Option Exercise	+1.05K	—	—	3.5%	30.48K	31.54K
Common Stock Direct	5/15/2019	F · Tax Withholding	−309.00	$23.76	$7.34K	1.0%	31.54K	31.23K
Common Stock Direct	5/15/2019	M · Option Exercise	+1.05K	—	—	3.4%	31.23K	32.28K
Common Stock Direct	5/15/2019	F · Tax Withholding	−309.00	$23.76	$7.34K	1.0%	32.28K	31.97K
Total			+4.32K		-$42.53K

Derivative Transactions4

Performance-based Restricted Stock Units

Direct

M · Option Exercise

Converts to

Common Stock

2K shares

−2K

Strike price

Held after

Exercisable

—

5/15/2019

Restricted Stock Units

Direct

M · Option Exercise

Converts to

Common Stock

2K shares

−2K

Strike price

Held after

Exercisable

—

5/15/2019

Performance-based Restricted Stock Units

Direct

M · Option Exercise

Converts to

Common Stock

1.05K shares

−1.05K

Strike price

Held after

7.38K

Exercisable

—

5/15/2019

Restricted Stock Units

Direct

M · Option Exercise

Converts to

Common Stock

1.05K shares

−1.05K

Strike price

Held after

7.38K

Exercisable

—

5/15/2019

Security	Converts To	Date	Type	Shares	Exercisable	Held After
Performance-based Restricted Stock Units Direct	Common Stock2K shares	5/15/2019	M · Option Exercise	−2K	—	6K
Restricted Stock Units Direct	Common Stock2K shares	5/15/2019	M · Option Exercise	−2K	—	6K
Performance-based Restricted Stock Units Direct	Common Stock1.05K shares	5/15/2019	M · Option Exercise	−1.05K	—	7.38K
Restricted Stock Units Direct	Common Stock1.05K shares	5/15/2019	M · Option Exercise	−1.05K	—	7.38K

Non-Derivative Holdings (Post-Transaction)1

Common Stock

Indirect

Shares owned1.08K

Total

1.08K indirect1.08K

Security Title	Shares Owned	Ownership Type
Common Stock	1.08K	Indirect
Total	1.08K	1.08K indirect

Derivative Holdings (Post-Transaction)0

No derivative holdings reported