Edgar Filing: CONTROL4 CORP

Ownership Submission

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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(Print or Type Responses)

1. Name and Address of Reporting Person ^*

Â Born Robert

2. Date of Event Requiring Statement (Month/Day/Year)
08/01/2013

3. Issuer Name and Ticker or Trading Symbol
CONTROL4 CORP [CTRL]

(Last)

(First)

(Middle)

C/O CONTROL4 CORPORATION,Â 11734 S. ELECTION ROAD

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

__X__ Director	__X__ 10% Owner
_____ Officer (give title below)	_____ Other (specify below)

5. If Amendment, Date Original Filed(Month/Day/Year)

(Street)

SALT LAKE CITY,Â UTÂ 84020

6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

(City)

(State)

(Zip)

Table I - Non-Derivative Securities Beneficially Owned

1.Title of Security
(Instr. 4)

2. Amount of Securities Beneficially Owned
(Instr. 4)

3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)

4. Nature of Indirect Beneficial Ownership
(Instr. 5)

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.			SEC 1473 (7-02)
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security		6. Nature of Indirect Beneficial Ownership (Instr. 5)
Series A Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	7,212	$ ⁽¹⁾	I	By Thomas Weisel Venture Partners Employee Fund, L.P. ⁽²⁾
Series A Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	858,172	$ ⁽¹⁾	I	By Thomas Weisel Venture Partners, L.P. ⁽³⁾
Series B Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	9,838	$ ⁽¹⁾	I	By Thomas Weisel Venture Partners Employee Fund, L.P. ⁽²⁾
Series B Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	1,172,865	$ ⁽¹⁾	I	By Thomas Weisel Venture Partners, L.P. ⁽³⁾
Series C Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	2,959	$ ⁽¹⁾	I	By Thomas Weisel Venture Partners Employee Fund, L.P. ⁽²⁾
Series C Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	366,996	$ ⁽¹⁾	I	By Thomas Weisel Venture Partners, L.P. ⁽³⁾
Series D Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	2,450	$ ⁽¹⁾	I	By Thomas Weisel Venture Partners Employee Fund, L.P. ⁽²⁾
Series D Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	303,921	$ ⁽¹⁾	I	By Thomas Weisel Venture Partners, L.P. ⁽³⁾
Series E Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	702	$ ⁽¹⁾	I	By Thomas Weisel Venture Partners Employee Fund, L.P. ⁽²⁾
Series E Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	87,109	$ ⁽¹⁾	I	By Thomas Weisel Venture Partners, L.P. ⁽³⁾
Series G Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	870	$ ⁽¹⁾	I	By Thomas Weisel Venture Partners Employee Fund, L.P. ⁽²⁾
Series G Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	107,136	$ ⁽¹⁾	I	By Thomas Weisel Venture Partners, L.P. ⁽³⁾

Reporting Owners

Reporting Owner Name / Address	Relationships
Reporting Owner Name / Address	Director	10% Owner	Officer	Other
Born Robert C/O CONTROL4 CORPORATION 11734 S. ELECTION ROAD SALT LAKE CITY,Â UTÂ 84020	Â X	Â X	Â	Â

Signatures

/s/ Robert Born		08/01/2013
^**Signature of Reporting Person		Date

Explanation of Responses:

*	If the form is filed by more than one reporting person, see Instruction 5(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).
(1)	Each share of Issuer's Preferred Stock automatically converts 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"), whose sole general partner is Thomas Weisel Capital Management LLC. Robert Born is a fund manager for TWVP Employee Fund. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose. Robert Born is a director of Issuer.
(3)	These shares are owned directly by Thomas Weisel Venture Partners, L.P. ("TWVP "), whose sole general partner is Thomas Weisel Venture Partners LLC. Robert Born is a fund manager for TWVP. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose. Robert Born is a director of Issuer.

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