SEC Form 4 · accession 0001209191-16-136062
CONTROL4 CORP · CTRL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Period of report
Aug 5, 2016
Accepted (ET)
Aug 9, 2016 · 3:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001259515
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Aug 5, 2016 | J | 1,300,000 | $0.00 | D | 1,956,419 | I | By: Foundation Capital IV, L.P. |
| Common StockF2 | holding | — | — | — | 37,559 | I | By: FC IV Active Advisors Fund, LLC | |
| Common StockF2 | holding | — | — | — | 40,364 | I | By: Foundation Capital IV Principals Fund, LLC | |
| Common StockF3 | holding | — | — | — | 240,332 | I | By: Foundation Capital VI, L.P.( | |
| Common StockF3 | holding | — | — | — | 2,684 | I | By: Foundation Capital VI Principals Fund, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Foundation Capital IV, L.P. effected following the close of the trading market on August 5, 2016 without consideration to its limited partners.
- F2Foundation Capital Management Co. IV, L.L.C. serves as the general partner of Foundation Capital IV, L.P. and the manager of FC IV Active Advisors Fund, LLC and Foundation Capital IV Principals Fund, LLC. Foundation Capital IV, L.P., FC IV Active Advisors Fund, LLC and Foundation Capital IV Principals Fund, LLC are under common control by Foundation Capital Management Co. IV, L.L.C. As such, Foundation Capital Management Co. IV, L.L.C. has sole voting and investment control over the shares owned by Foundation Capital IV, L.P., FC IV Active Advisors Fund, LLC and Foundation Capital IV Principals Fund, LLC, and may be deemed to beneficially own the shares held by Foundation Capital IV, L.P., FC IV Active Advisors Fund, LLC and Foundation Capital IV Principals Fund, LLC. Foundation Capital Management Co. IV, L.L.C. disclaims beneficial ownership of the shares reported herein, except to the extent of its pecuniary interest therein.
- F3Foundation Capital Management Co. VI, L.L.C. serves as the general partner of Foundation Capital VI, L.P. and the manager of Foundation Capital VI Principals Fund, LLC. Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC are under common control by Foundation Capital Management Co. VI, L.L.C. As such, Foundation Capital Management Co. VI, L.L.C. has sole voting and investment control over the shares owned by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC, and may be deemed to beneficially own the shares held by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. Foundation Capital Management Co. VI, L.L.C. disclaims beneficial ownership of the shares reported herein, except to the extent of its pecuniary interest therein.