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 CA 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)
02/26/2014
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)
Code V Amount (A) or (D) Price
Common Stock 02/26/2014 J(4) 5,555 D $0 18,476 I By Thomas Weisel Venture Partners Employee Fund, L.P.(1)(3)
Common Stock 02/26/2014 J(5) 669,445 D $0 2,226,754 I By Thomas Weisel Venture Partners, L.P.(2)(3)
Common Stock 02/26/2014 J(4) 197 A $0 197 D
Common Stock 02/26/2014 J(5) 32,459 A $0 32,459 I By Thomas Weisel Venture Partners LLC
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
Thomas Weisel Capital Management LLC

(Last) (First) (Middle)
ONE MONTGOMERY STREET, 37TH FLOOR

(Street)
SAN FRANCISCO CA 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 CA 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 CA 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 CA 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. 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. Robert 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.
2. 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. Robert 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.
3. 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. TWVP LLC and TWVP disclose the existence of such group and disclaim beneficial ownership of any shares held by TWVP Employee Fund.
4. Distributed without additional consideration to partners from TWVP Employee Fund in pro rata distributions pursuant to the partnership agreement and/or operating agreement.
5. Distributed without additional consideration to partners from TWVP in pro rata distributions pursuant to the partnership agreement and/or operating agreement.
Thomas Weisel Capital Management LLC, /s/ Michael Chien, Associate General Counsel 02/28/2014
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. 02/28/2014
Thomas Weisel Venture Partners LLC, /s/ Michael Chien, Associate General Counsel 02/28/2014
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. 02/28/2014
** 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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