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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
CONTROL4 CORP [ CTRL ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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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)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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) | |||||||||||||||
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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*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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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). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |