SEC Form 4 · accession 0001209191-16-136063
CONTROL4 CORP · CTRL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven Vassallo
Other
Period of report
Aug 5, 2016
Accepted (ET)
Aug 9, 2016 · 3:17 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. Mr. Vassallo is a non-managing member of Foundation Capital Management Co. IV, L.L.C., and may be deemed to share voting and investment power over the shares owned by Foundation Capital IV, L.P., FC IV Active Advisors Fund, LLC and Foundation Capital IV Principals Fund, LLC. Mr. Vassallo disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his 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. Mr. Vassallo is a managing member of Foundation Capital Management Co. VI, L.L.C., and may be deemed to share voting and investment power over the shares owned by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. Mr. Vassallo disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.