Foundation Capital Vi Form 4 Change in insider ownership

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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X

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^*

FOUNDATION CAPITAL MANAGEMENT CO IV LLC

(Last) (First) (Middle)

250 MIDDLEFIELD ROAD

(Street)

MENLO PARK CA 94025

(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		10% Owner
	Officer (give title below)	X	Other (specify below)
Former 10% Owner

3. Date of Earliest Transaction (Month/Day/Year)
08/05/2016

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	08/05/2016	08/05/2016	J(1)		1,300,000	D	$0.00(1)	1,956,419	I	By: Foundation Capital IV, L.P.(2)
Common Stock								37,559	I	By: FC IV Active Advisors Fund, LLC(2)
Common Stock								40,364	I	By: Foundation Capital IV Principals Fund, LLC(2)
Common Stock								240,332	I	By: Foundation Capital VI, L.P.((3)
Common Stock								2,684	I	By: Foundation Capital VI Principals Fund, LLC(3)

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^*

FOUNDATION CAPITAL MANAGEMENT CO IV LLC

(Last) (First) (Middle)

250 MIDDLEFIELD ROAD

(Street)

MENLO PARK CA 94025

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

FOUNDATION CAPITAL IV LP

(Last) (First) (Middle)

250 MIDDLEFIELD ROAD

(Street)

MENLO PARK CA 94025

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

FC IV ACTIVE ADVISORS FUND LLC

(Last) (First) (Middle)

250 MIDDLEFIELD ROAD

(Street)

MENLO PARK CA 94025

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

Foundation Capital IV Principals Fund, LLC

(Last) (First) (Middle)

250 MIDDLEFIELD ROAD

(Street)

MENLO PARK CA 94025

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

FOUNDATION CAPITAL VI LP

(Last) (First) (Middle)

250 MIDDLEFIELD ROAD

(Street)

MENLO PARK CA 94025

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

Foundation Capital VI Principals Fund, LLC

(Last) (First) (Middle)

250 MIDDLEFIELD ROAD

(Street)

MENLO PARK CA 94025

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

Foundation Capital Management Co. VI, LLC

(Last) (First) (Middle)

250 MIDDLEFIELD ROAD

(Street)

MENLO PARK CA 94025

(City) (State) (Zip)

Explanation of Responses:

1. Represents 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.

2. Foundation 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.

3. Foundation 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.

Remarks:

	/s/ David Singer as Attorney-in-Fact for Foundation Capital Management Co. IV, L.L.C.	08/09/2016
	/s/ David Singer as Attorney-in-Fact for Foundation Capital Management Co. IV, L.L.C. which serves as General Partner of Foundation Capital IV, L.P.	08/09/2016
	/s/ David Singer as Attorney-in-Fact for Foundation Capital Management Co. IV, L.L.C. which serves as Manager of FC IV Active Advisors Fund, LLC	08/09/2016
	/s/ David Singer as Attorney-in-Fact for Foundation Capital Management Co. IV, L.L.C. which serves as Manager of Foundation Capital IV Principals Fund, LLC	08/09/2016
	/s/ David Singer as Attorney-in-Fact for Foundation Capital Management Co. VI, L.L.C. which serves as the General Partner of Foundation Foundation Capital VI, L.P.	08/09/2016
	/s/ David Singer as Attorney-in-Fact for Foundation Capital Management Co. VI, L.L.C. which serves as Manager of Foundation Capital VI Principals Fund, L.L.C.	08/09/2016
	/s/ David Singer as Attorney-in-Fact for Foundation Capital Management Co. VI, L.L.C.	08/09/2016
	** 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).
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