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^*

Thomas Weisel Capital Management LLC

(Last)

(First)

(Middle)

ONE MONTGOMERY STREET, 37TH FLOOR

(Street)

SAN FRANCISCO

94104

(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		24,031	A	⁽¹⁾	24,031	I	By Thomas Weisel Venture Partners Employee Fund, L.P.⁽²⁾⁽³⁾
Common Stock	08/07/2013		C		2,896,199	A	⁽¹⁾	2,896,199	I	By Thomas Weisel Venture Partners, L.P.⁽⁴⁾

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			7,212	⁽¹⁾	⁽¹⁾	Common Stock	7,212	$0.00	0	I	By Thomas Weisel Venture Partners Employee Fund, L.P.⁽²⁾⁽³⁾
Series A Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			858,172	⁽¹⁾	⁽¹⁾	Common Stock	858,172	$0.00	0	I	By Thomas Weisel Venture Partners, L.P.⁽⁴⁾
Series B Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			9,838	⁽¹⁾	⁽¹⁾	Common Stock	9,838	$0.00	0	I	By Thomas Weisel Venture Partners Employee Fund, L.P.⁽²⁾⁽³⁾
Series B Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			1,172,865	⁽¹⁾	⁽¹⁾	Common Stock	1,172,865	$0.00	0	I	By Thomas Weisel Venture Partners, L.P.⁽⁴⁾
Series C Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			2,959	⁽¹⁾	⁽¹⁾	Common Stock	2,959	$0.00	0	I	By Thomas Weisel Venture Partners Employee Fund, L.P.⁽²⁾⁽³⁾
Series C Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			366,996	⁽¹⁾	⁽¹⁾	Common Stock	366,996	$0.00	0	I	By Thomas Weisel Venture Partners, L.P.⁽⁴⁾
Series D Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			2,450	⁽¹⁾	⁽¹⁾	Common Stock	2,450	$0.00	0	I	By Thomas Weisel Venture Partners Employee Fund, L.P.⁽²⁾⁽³⁾
Series D Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			303,921	⁽¹⁾	⁽¹⁾	Common Stock	303,921	$0.00	0	I	By Thomas Weisel Venture Partners, L.P.⁽⁴⁾
Series E Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			702	⁽¹⁾	⁽¹⁾	Common Stock	702	$0.00	0	I	By Thomas Weisel Venture Partners Employee Fund, L.P.⁽²⁾⁽³⁾
Series E Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			87,109	⁽¹⁾	⁽¹⁾	Common Stock	87,109	$0.00	0	I	By Thomas Weisel Venture Partners, L.P.⁽⁴⁾
Series G Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			870	⁽¹⁾	⁽¹⁾	Common Stock	870	$0.00	0	I	By Thomas Weisel Venture Partners Employee Fund, L.P.⁽²⁾⁽³⁾
Series G Convertible Preferred Stock	⁽¹⁾	08/07/2013		C			107,136	⁽¹⁾	⁽¹⁾	Common Stock	107,136	$0.00	0	I	By Thomas Weisel Venture Partners, L.P.⁽⁴⁾

1. Name and Address of Reporting Person^*

Thomas Weisel Capital Management LLC

(Last)

(First)

(Middle)

ONE MONTGOMERY STREET, 37TH FLOOR

(Street)

SAN FRANCISCO

94104

(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^*

Thomas Weisel Venture Partners Employee Fund, L.P.

(Last)

(First)

(Middle)

ONE MONTGOMERY STREET, FLOOR 37

(Street)

SAN FRANCISCO

94104

(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^*

Thomas Weisel Venture Partners LLC

(Last)

(First)

(Middle)

ONE MONTGOMERY STREET, 37TH FLOOR

(Street)

SAN FRANCISCO

94104

(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^*

Thomas Weisel Venture Partners, L.P.

(Last)

(First)

(Middle)

THOMAS WEISEL VENTURE PARTNERS

ONE MONTGOMERY STREET, FLOOR 37

(Street)

SAN FRANCISCO

94104

(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 Thomas Weisel Venture Partners Employee Fund, L.P. ("TWVP Employee Fund"), of which Thomas Weisel Capital Management LLC ("TWCM") is the sole general partner and exercises voting and investment power over these shares. Rob Born is the fund manager for TWVP Employee Fund. TWVP Employee Fund, TWCM and the fund manager of TWVP Employee Fund 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 TWVP Employee Fund, TWCM or the fund manager of TWVP Employee Fund are the beneficial owners of such securities for Section 16 or any other purpose. Rob Born is a director of Issuer.

3. TWVP Employee Fund and TWVP (as defined below) may be deemed to be members of a Section 13(d) "group." TWVP LLC (as defined below) and TWVP (as defined below) disclose the existence of such group and disclaim beneficial ownership of any shares held by TWVP Employee Fund.

4. These shares are owned directly by Thomas Weisel Venture Partners, L.P. ("TWVP"), of which Thomas Weisel Venture Partners LLC ("TWVP LLC") is the sole general partner and exercises voting and investment power over these shares. Rob Born is the fund manager for TWVP. TWVP, TWVP LLC and the fund manager of TWVP 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 TWVP, TWVP LLC or the fund manager of TWVP are the beneficial owners of such securities for Section 16 or any other purpose. Rob Born is a director of Issuer. TWVP and TWVP Employee Fund may be deemed to be members of a Section 13(d) "group." TWCM and TWVP Employee Fund disclose the existence of such group and disclaim beneficial ownership of any shares held by TWVP.

	Thomas Weisel Capital Management LLC, /s/ Michael Chien, Associate General Counsel	08/07/2013
	Thomas Weisel Venture Partners Employee Fund, L.P., /s/ Michael Chien, Associate General Counsel of Thomas Weisel Capital Management LLC, General Partner of Thomas Weisel Venture Partners Employee Fund, L.P.	08/07/2013
	Thomas Weisel Venture Partners LLC, /s/ Michael Chien, Associate General Counsel	08/07/2013
	Thomas Weisel Venture Partners, L.P., /s/ Michael Chien, Associate General Counsel of Thomas Weisel Venture Partners LLC, General Partner of Thomas Weisel Venture Partners, L.P.	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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