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^*

vSpring III D, L.P.

(Last)

(First)

(Middle)

2795 E. COTTONWOOD PARKWAY, SUITE 360

(Street)

SALT LAKE CITY

84121

(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)		Other (specify below)

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	08/07/2013		C		1,973,134	A	⁽¹⁾	1,973,134	I	By vSpring SBIC, L.P⁽²⁾⁽³⁾
Common Stock	08/07/2013		C		63,542	A	⁽¹⁾	63,542	I	By vSpring III D, L.P.⁽⁴⁾⁽³⁾
Common Stock	08/07/2013		C		226,819	A	⁽¹⁾	226,819	I	By vSpring III, L.P.⁽⁵⁾⁽³⁾
Common Stock	08/07/2013		C		1,256	A	⁽¹⁾	1,256	I	By vSpring Partners III, L.P.⁽⁶⁾⁽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 A Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			692,307	⁽¹⁾	⁽¹⁾	Common Stock	692,307	$0.00	0	I	By vSpring SBIC, L.P.⁽²⁾⁽³⁾
Series B Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			871,652	⁽¹⁾	⁽¹⁾	Common Stock	871,652	$0.00	0	I	By vSpring SBIC, L.P.⁽²⁾⁽³⁾
Series C Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			282,505	⁽¹⁾	⁽¹⁾	Common Stock	282,505	$0.00	0	I	By vSpring SBIC, L.P.⁽²⁾⁽³⁾
Series D Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			94,268	⁽¹⁾	⁽¹⁾	Common Stock	94,268	$0.00	0	I	By vSpring SBIC, L.P.⁽²⁾⁽³⁾
Series G Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			63,542	⁽¹⁾	⁽¹⁾	Common Stock	63,542	$0.00	0	I	By vSpring III D, L.P.⁽⁴⁾⁽³⁾
Series G Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			226,819	⁽¹⁾	⁽¹⁾	Common Stock	226,819	$0.00	0	I	By vSpring III, L.P.⁽⁵⁾⁽³⁾
Series G Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			1,256	⁽¹⁾	⁽¹⁾	Common Stock	1,256	$0.00	0	I	By vSpring Partners III, L.P.⁽⁶⁾⁽³⁾
Series G Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			32,402	⁽¹⁾	⁽¹⁾	Common Stock	32,402	$0.00	0	I	By vSpring SBIC, L.P.⁽²⁾⁽³⁾

1. Name and Address of Reporting Person^*

vSpring III D, L.P.

(Last)

(First)

(Middle)

2795 E. COTTONWOOD PARKWAY, SUITE 360

(Street)

SALT LAKE CITY

84121

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)		Other (specify below)

1. Name and Address of Reporting Person^*

vSpring III L P

(Last)

(First)

(Middle)

2795 E. COTTONWOOD PARKWAY, SUITE 360

(Street)

SALT LAKE CITY

84121

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)		Other (specify below)

1. Name and Address of Reporting Person^*

vSpring Management III D, L.L.C.

(Last)

(First)

(Middle)

2795 E. COTTONWOOD PARKWAY, SUITE 360

(Street)

SALT LAKE CITY

84121

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)		Other (specify below)

1. Name and Address of Reporting Person^*

vSpring Management III, L.L.C.

(Last)

(First)

(Middle)

2795 E. COTTONWOOD PARKWAY, SUITE 360

(Street)

SALT LAKE CITY

84121

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)		Other (specify below)

1. Name and Address of Reporting Person^*

vSpring Partners III, L.P.

(Last)

(First)

(Middle)

2795 E. COTTONWOOD PARKWAY, SUITE 360

(Street)

SALT LAKE CITY

84121

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)		Other (specify below)

1. Name and Address of Reporting Person^*

vSpring SBIC Management, L.L.C.

(Last)

(First)

(Middle)

2795 E. COTTONWOOD PARKWAY, SUITE 360

(Street)

SALT LAKE CITY

84121

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)		Other (specify below)

1. Name and Address of Reporting Person^*

VSPRING SBIC LP

(Last)

(First)

(Middle)

2795 E. COTTONWOOD PARKWAY, SUITE 360

(Street)

SALT LAKE CITY

84121

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)		Other (specify below)

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. These shares are owned directly by vSpring SBIC, L.P. ("vSpring SBIC"), of which vSpring SBIC Management, L.L.C. ("vSpring SBIC Management") is the sole general partner and exercises voting and investment power over these shares. The managing members of vSpring SBIC Management are Scott Petty and Dinesh Patel. Scott Petty is a director of Issuer. vSpring SBIC, vSpring III D (as defined below), vSpring III (as defined below) and vSpring Partners (as defined below) may be deemed to be members of a Section 13(d) "group." vSpring Management III (as defined below), vSpring Management III D (as defined below), vSpring III D, vSpring III and vSpring Partners disclose the existence of such group and disclaim beneficial ownership of any shares held by vSpring SBIC.

3. The reporting persons and their managing members disclaim beneficial ownership of these securities, except to the extent of their respective proportionate pecuniary interest therein, and this report shall not be deemed an admission that any of the reporting persons or their managing members are the beneficial owners of such securities for Section 16 or any other purpose.

4. These shares are owned directly by vSpring III D, L.P. ("vSpring III D"), of which vSpring Management III D, L.L.C. ("vSpring Management III D") is the sole general partner and exercises voting and investment power over these shares. The managing members of vSpring Management III D are Scott Petty, Dinesh Patel, Ron Heinz and Brandon Tidwell. Scott Petty is a director of Issuer. vSpring III D, vSpring SBIC, vSpring III (as defined below) and vSpring Partners (as defined below) may be deemed to be members of a Section 13(d) "group." vSpring SBIC, vSpring SBIC Management, vSpring Management III (as defined below), vSpring III and vSpring Partners disclose the existence of such group and disclaim beneficial ownership of any shares held by vSpring III D.

5. These shares are owned directly by vSpring III, L.P. ("vSpring III"), of which vSpring Management III, L.L.C. ("vSpring Management III") is the sole general partner and exercises voting and investment power over these shares. The managing members of vSpring Management III are Scott Petty, Dinesh Patel, Ron Heinz and Brandon Tidwell. Scott Petty is a director of Issuer. vSpring III, vSpring SBIC, vSpring III D and vSpring Partners (as defined below) may be deemed to be members of a Section 13(d) "group." vSpring SBIC, vSpring SBIC Management, vSpring Management III D, vSpring III D and vSpring Partners disclose the existence of such group and disclaim beneficial ownership of any shares held by vSpring III.

6. These shares are owned directly by vSpring Partners III, L.P. ("vSpring Partners"), of which vSpring Management III is the sole general partner and exercises voting and investment power over these shares. The managing members of vSpring Management III are Scott Petty, Dinesh Patel, Ron Heinz and Brandon Tidwell. Scott Petty is a director of Issuer. vSpring Partners, vSpring III D, vSpring SBIC and vSpring III may be deemed to be members of a Section 13(d) "group." vSpring SBIC, vSpring SBIC Management, vSpring Management III D, vSpring III D and vSpring III disclose the existence of such group and disclaim beneficial ownership of any shares held by vSpring Partners.

	vSpring III D, L.P. /s/ Scott R. Petty, Managing Member of vSpring Management III D, LLC, its General Partner	08/07/2013
	vSpring III, L.P., /s/ Scott R. Petty, Managing Member of vSpring Management III, LLC, its General Partner	08/07/2013
	vSpring Management III D, L.L.C., /s/ Scott R. Petty, Managing Member	08/07/2013
	vSpring Management III, L.L.C., /s/ Scott R. Petty, Managing Member	08/07/2013
	vSpring Partners III, L.P., /s/ Scott R. Petty, Managing Member of vSpring Management III, LLC, its General Partner	08/07/2013
	vSpring SBIC Management, L.L.C., /s/ Scott R. Petty, Managing Member	08/07/2013
	vSpring SBIC, L.P., /s/ Scott R. Petty, Managing Member of vSpring SBIC Management, LLC, its General Partner	08/07/2013
	** 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).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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