SEC FORM 4

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

FOUNDATION CAPITAL MANAGEMENT CO IV LLC

(Last)

(First)

(Middle)

250 MIDDLEFIELD ROAD

(Street)

MENLO PARK

94025

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
CONTROL4 CORP [ CTRL ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

Director	X	10% Owner
Officer (give title below)	X	Other (specify below)
		Mmbr 13D group owning > 10%

3. Date of Earliest Transaction (Month/Day/Year)
08/07/2013

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

	Form filed by One Reporting Person
X	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock								18,920	I	By: Foundation Capital IV, L.P.⁽²⁾
Common Stock	08/07/2013		C		1,770,469	A	⁽¹⁾	1,789,389	I	By: Foundation Capital IV, L.P.⁽²⁾
Common Stock	08/07/2013		C		890,389	A	⁽¹⁾	2,679,778	I	By: Foundation Capital IV, L.P.⁽²⁾
Common Stock	08/07/2013		C		863,962	A	⁽¹⁾	3,543,740	I	By: Foundation Capital IV, L.P.⁽²⁾
Common Stock	08/07/2013		C		1,132,980	A	⁽¹⁾	4,676,720	I	By: Foundation Capital IV, L.P.⁽²⁾
Common Stock	08/07/2013		C		79,699	A	⁽¹⁾	4,756,419	I	By: Foundation Capital IV, L.P.⁽²⁾
Common Stock								149	I	By: FC IV Active Advisors Fund, LLC⁽²⁾
Common Stock	08/07/2013		C		13,981	A	⁽¹⁾	14,130	I	By: FC IV Active Advisors Fund, LLC⁽²⁾
Common Stock	08/07/2013		C		7,031	A	⁽¹⁾	21,161	I	By: FC IV Active Advisors Fund, LLC⁽²⁾
Common Stock	08/07/2013		C		6,822	A	⁽¹⁾	27,983	I	By: FC IV Active Advisors Fund, LLC⁽²⁾
Common Stock	08/07/2013		C		8,947	A	⁽¹⁾	36,930	I	By: FC IV Active Advisors Fund, LLC⁽²⁾
Common Stock	08/07/2013		C		629	A	⁽¹⁾	37,559	I	By: FC IV Active Advisors Fund, LLC⁽²⁾
Common Stock								160	I	By: Foundation Capital IV Principals Fund, LLC⁽²⁾
Common Stock	08/07/2013		C		15,025	A	⁽¹⁾	15,185	I	By: Foundation Capital IV Principals Fund, LLC⁽²⁾
Common Stock	08/07/2013		C		7,556	A	⁽¹⁾	22,741	I	By: Foundation Capital IV Principals Fund, LLC⁽²⁾
Common Stock	08/07/2013		C		7,332	A	⁽¹⁾	30,073	I	By: Foundation Capital IV Principals Fund, LLC⁽²⁾
Common Stock	08/07/2013		C		9,615	A	⁽¹⁾	39,688	I	By: Foundation Capital IV Principals Fund, LLC⁽²⁾
Common Stock	08/07/2013		C		676	A	⁽¹⁾	40,364	I	By: Foundation Capital IV Principals Fund, LLC⁽²⁾
Common Stock	08/07/2013		C		240,332	A	⁽¹⁾	240,332	I	By: Foundation Capital VI, L.P.⁽³⁾
Common Stock	08/07/2013		C		2,684	A	⁽¹⁾	2,684	I	By: Foundation Capital VI Principals Fund, LLC⁽³⁾

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Series C Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			1,770,469	⁽¹⁾	⁽¹⁾	Common Stock	1,770,469	⁽¹⁾	0	I	By: Foundation Capital IV, L.P.⁽²⁾
Series C Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			13,981	⁽¹⁾	⁽¹⁾	Common Stock	13,981	⁽¹⁾	0	I	By: FC IV Active Advisors Fund, LLC⁽²⁾
Series C Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			15,025	⁽¹⁾	⁽¹⁾	Common Stock	15,025	⁽¹⁾	0	I	By: Foundation Capital IV Principals Fund, LLC⁽²⁾
Series D Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			890,389	⁽¹⁾	⁽¹⁾	Common Stock	890,389	⁽¹⁾	0	I	By: Foundation Capital IV, L.P.⁽²⁾
Series D Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			7,031	⁽¹⁾	⁽¹⁾	Common Stock	7,031	⁽¹⁾	0	I	By: FC IV Active Advisors Fund, LLC⁽²⁾
Series D Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			7,556	⁽¹⁾	⁽¹⁾	Common Stock	7,556	⁽¹⁾	0	I	By: Foundation Capital IV Principals Fund, LLC⁽²⁾
Series E Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			863,962	⁽¹⁾	⁽¹⁾	Common Stock	863,962	⁽¹⁾	0	I	By: Foundation Capital IV, L.P.⁽²⁾
Series E Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			6,822	⁽¹⁾	⁽¹⁾	Common Stock	6,822	⁽¹⁾	0	I	By: FC IV Active Advisors Fund, LLC⁽²⁾
Series E Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			7,332	⁽¹⁾	⁽¹⁾	Common Stock	7,332	⁽¹⁾	0	I	By: Foundation Capital IV Principals Fund, LLC⁽²⁾
Series F Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			1,132,980	⁽¹⁾	⁽¹⁾	Common Stock	1,132,980	⁽¹⁾	0	I	By: Foundation Capital IV, L.P.⁽²⁾
Series F Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			8,947	⁽¹⁾	⁽¹⁾	Common Stock	8,947	⁽¹⁾	0	I	By: FC IV Active Advisors Fund, LLC⁽²⁾
Series F Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			9,615	⁽¹⁾	⁽¹⁾	Common Stock	9,615	⁽¹⁾	0	I	By: Foundation Capital IV Principals Fund, LLC⁽²⁾
Series G Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			79,699	⁽¹⁾	⁽¹⁾	Common Stock	79,699	⁽¹⁾	0	I	By: Foundation Capital IV, L.P.⁽²⁾
Series G Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			629	⁽¹⁾	⁽¹⁾	Common Stock	629	⁽¹⁾	0	I	By: FC IV Active Advisors Fund, LLC⁽²⁾
Series G Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			676	⁽¹⁾	⁽¹⁾	Common Stock	676	⁽¹⁾	0	I	By: Foundation Capital IV Principals Fund, LLC⁽²⁾
Series G Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			240,332	⁽¹⁾	⁽¹⁾	Common Stock	240,332	⁽¹⁾	0	I	By: Foundation Capital VI, L.P.⁽³⁾
Series G Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			2,684	⁽¹⁾	⁽¹⁾	Common Stock	2,684	⁽¹⁾	0	I	By: Foundation Capital VI Principals Fund, LLC⁽³⁾

1. Name and Address of Reporting Person^*

FOUNDATION CAPITAL MANAGEMENT CO IV LLC

(Last)

(First)

(Middle)

250 MIDDLEFIELD ROAD

(Street)

MENLO PARK

94025

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)	X	Other (specify below)
		Mmbr 13D group owning > 10%

1. Name and Address of Reporting Person^*

FOUNDATION CAPITAL IV LP

(Last)

(First)

(Middle)

250 MIDDLEFIELD ROAD

(Street)

MENLO PARK

94025

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)	X	Other (specify below)
		Mmbr 13D group owning > 10%

1. Name and Address of Reporting Person^*

FC IV ACTIVE ADVISORS FUND LLC

(Last)

(First)

(Middle)

250 MIDDLEFIELD ROAD

(Street)

MENLO PARK

94025

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)	X	Other (specify below)
		Mmbr 13D group owning > 10%

1. Name and Address of Reporting Person^*

Foundation Capital IV Principals Fund, LLC

(Last)

(First)

(Middle)

250 MIDDLEFIELD ROAD

(Street)

MENLO PARK

94025

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)	X	Other (specify below)
		Mmbr 13D group owning > 10%

1. Name and Address of Reporting Person^*

Foundation Capital Management Co. VI, LLC

(Last)

(First)

(Middle)

250 MIDDLEFIELD ROAD

(Street)

MENLO PARK

94025

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)	X	Other (specify below)
		Mmbr 13D group owning > 10%

1. Name and Address of Reporting Person^*

FOUNDATION CAPITAL VI LP

(Last)

(First)

(Middle)

250 MIDDLEFIELD ROAD

(Street)

MENLO PARK

94025

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)	X	Other (specify below)
		Mmbr 13D group owning > 10%

1. Name and Address of Reporting Person^*

Foundation Capital VI Principals Fund, LLC

(Last)

(First)

(Middle)

250 MIDDLEFIELD ROAD

(Street)

MENLO PARK

94025

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)	X	Other (specify below)
		Mmbr 13D group owning > 10%

Explanation of Responses:

1. Each share of Issuer's Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering and has no expiration date.

2. Foundation Capital Management Co. IV, LLC is the general partner of Foundation Capital IV, L.P., FC IV Active Advisors Fund, LLC and Foundation Capital IV Principals Fund, LLC. William B. Elmore, Kathryn C. Gould, Paul R. Holland, Paul G. Koontz, Michael N. Schuh and Warren M. Weiss are managing members of Foundation Capital Management Co. IV, LLC, and may be deemed to share voting and investment power over the shares owned by Foundation Capital IV, L.P., FC IV Active Advisors Fund, LLC and Foundation Capital IV Principals Fund, LLC. Each of the managing members of Foundation Capital Management Co. IV, LLC disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his or her pecuniary interest therein.

3. Foundation Capital Management Co. VI, LLC is the general partner of Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. William B. Elmore, Paul R. Holland, Paul G. Koontz,Charles P. Moldow, Richard A. Redelfs, Michael N. Schuh, Ashmeet S. Sidana, Steven P. Vassallo and Warren M. Weiss are the managing members of Foundation Capital Management Co. VI, LLC and may be deemed to share voting and investment power over the shares owned by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. Each of the managing members of Foundation Capital Management Co. VI, LLC disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his or her pecuniary interest therein.

	/s/ Gail M. Haney as Attorney-In-Fact	08/09/2013
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
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