PLAEHN MARTIN (Chairman, CEO and President) exercised options at CONTROL4 CORP

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

M · 4 exercises

PLAEHN MARTIN

Filed: 5/16/2019ACC: 0001179110-19-006205

InsiderPLAEHN MARTINCIK 1229280

→

IssuerCONTROL4 CORPCIK 1259515

DirectorOfficer· Chairman, CEO and President

Since Aug 2018

-4.49K

Net shares

Net seller

$106.8K

Total sold

Open market trades

0B · 0S

Total transactions

11.84K acquired · 16.34K disposed

Non-Derivative Transactions8

Common Stock

Direct

M · Option Exercise

+3.75K

Price / share

—

Trade value

—

% of position

2.5%

5/15/2019

147.36K→151.11K

Common Stock

Direct

F · Tax Withholding

−1.10K

Price / share

$23.76

Trade value

$26.11K

% of position

0.7%

5/15/2019

151.11K→150.01K

Common Stock

Direct

M · Option Exercise

+3.75K

Price / share

—

Trade value

—

% of position

2.5%

5/15/2019

150.01K→153.76K

Common Stock

Direct

F · Tax Withholding

−1.47K

Price / share

$23.76

Trade value

$34.93K

% of position

1.0%

5/15/2019

153.76K→152.29K

Common Stock

Direct

M · Option Exercise

+2.17K

Price / share

—

Trade value

—

% of position

1.4%

5/15/2019

152.29K→154.46K

Common Stock

Direct

F · Tax Withholding

−962.00

Price / share

$23.76

Trade value

$22.86K

% of position

0.6%

5/15/2019

154.46K→153.50K

Common Stock

Direct

M · Option Exercise

+2.17K

Price / share

—

Trade value

—

% of position

1.4%

5/15/2019

153.50K→155.67K

Common Stock

Direct

F · Tax Withholding

−962.00

Price / share

$23.76

Trade value

$22.86K

% of position

0.6%

5/15/2019

155.67K→154.71K

Total

Net shares

+7.35K

Net value

-$106.75K

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Direct	5/15/2019	M · Option Exercise	+3.75K	—	—	2.5%	147.36K	151.11K
Common Stock Direct	5/15/2019	F · Tax Withholding	−1.10K	$23.76	$26.11K	0.7%	151.11K	150.01K
Common Stock Direct	5/15/2019	M · Option Exercise	+3.75K	—	—	2.5%	150.01K	153.76K
Common Stock Direct	5/15/2019	F · Tax Withholding	−1.47K	$23.76	$34.93K	1.0%	153.76K	152.29K
Common Stock Direct	5/15/2019	M · Option Exercise	+2.17K	—	—	1.4%	152.29K	154.46K
Common Stock Direct	5/15/2019	F · Tax Withholding	−962.00	$23.76	$22.86K	0.6%	154.46K	153.50K
Common Stock Direct	5/15/2019	M · Option Exercise	+2.17K	—	—	1.4%	153.50K	155.67K
Common Stock Direct	5/15/2019	F · Tax Withholding	−962.00	$23.76	$22.86K	0.6%	155.67K	154.71K
Total			+7.35K		-$106.75K

Derivative Transactions4

Performance-based Restricted Stock Units

Direct

M · Option Exercise

Converts to

Common Stock

3.75K shares

−3.75K

Strike price

Held after

11.25K

Exercisable

—

5/15/2019

Restricted Stock Units

Direct

M · Option Exercise

Converts to

Common Stock

3.75K shares

−3.75K

Strike price

Held after

11.25K

Exercisable

—

5/15/2019

Performance-based Restricted Stock Units

Direct

M · Option Exercise

Converts to

Common Stock

2.17K shares

−2.17K

Strike price

Held after

15.20K

Exercisable

—

5/15/2019

Restricted Stock Units

Direct

M · Option Exercise

Converts to

Common Stock

2.17K shares

−2.17K

Strike price

Held after

15.20K

Exercisable

—

5/15/2019

Security	Converts To	Date	Type	Shares	Exercisable	Held After
Performance-based Restricted Stock Units Direct	Common Stock3.75K shares	5/15/2019	M · Option Exercise	−3.75K	—	11.25K
Restricted Stock Units Direct	Common Stock3.75K shares	5/15/2019	M · Option Exercise	−3.75K	—	11.25K
Performance-based Restricted Stock Units Direct	Common Stock2.17K shares	5/15/2019	M · Option Exercise	−2.17K	—	15.20K
Restricted Stock Units Direct	Common Stock2.17K shares	5/15/2019	M · Option Exercise	−2.17K	—	15.20K

Non-Derivative Holdings (Post-Transaction)1

Common Stock

Indirect

Shares owned1.11K

Total

1.11K indirect1.11K

Security Title	Shares Owned	Ownership Type
Common Stock	1.11K	Indirect
Total	1.11K	1.11K indirect

Derivative Holdings (Post-Transaction)0

No derivative holdings reported