SEC FORM 3 SEC Form 3
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
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
vSpring Management III D, L.L.C.

(Last) (First) (Middle)
2795 E. COTTONWOOD PARKWAY, SUITE 360

(Street)
SALT LAKE CITY 84121

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
08/01/2013
3. Issuer Name and Ticker or Trading Symbol
CONTROL4 CORP [ CTRL ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. 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 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)
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: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Series A Convertible Preferred Stock (1) (1) Common Stock 692,307 (1) I By vSpring SBIC, L.P.(2)(3)
Series B Convertible Preferred Stock (1) (1) Common Stock 871,652 (1) I By vSpring SBIC, L.P.(2)(3)
Series C Convertible Preferred Stock (1) (1) Common Stock 282,505 (1) I By vSpring SBIC, L.P.(2)(3)
Series D Convertible Preferred Stock (1) (1) Common Stock 94,268 (1) I By vSpring SBIC, L.P.(2)(3)
Series G Convertible Preferred Stock (1) (1) Common Stock 63,542 (1) I By vSpring III D, L.P.(4)(3)
Series G Convertible Preferred Stock (1) (1) Common Stock 226,819 (1) I By vSpring III, L.P.(5)(3)
Series G Convertible Preferred Stock (1) (1) Common Stock 1,256 (1) I By vSpring Partners III, L.P.(6)(3)
Series G Convertible Preferred Stock (1) (1) Common Stock 32,402 (1) I By vSpring SBIC, L.P.(2)(3)
1. Name and Address of Reporting Person*
vSpring Management III D, L.L.C.

(Last) (First) (Middle)
2795 E. COTTONWOOD PARKWAY, SUITE 360

(Street)
SALT LAKE CITY 84121

(City) (State) (Zip)
1. Name and Address of Reporting Person*
vSpring Management III, L.L.C.

(Last) (First) (Middle)
2795 E. COTTONWOOD PARKWAY, SUITE 360

(Street)
SALT LAKE CITY UT 84121

(City) (State) (Zip)
1. Name and Address of Reporting Person*
vSpring Partners III, L.P.

(Last) (First) (Middle)
2795 E. COTTONWOOD PARKWAY, SUITE 360

(Street)
SALT LAKE CITY UT 84121

(City) (State) (Zip)
1. Name and Address of Reporting Person*
vSpring SBIC Management, L.L.C.

(Last) (First) (Middle)
2795 E. COTTONWOOD PARKWAY, SUITE 360

(Street)
SALT LAKE CITY UT 84121

(City) (State) (Zip)
1. Name and Address of Reporting Person*
VSPRING SBIC LP

(Last) (First) (Middle)
2795 E. COTTONWOOD PARKWAY, SUITE 360

(Street)
SALT LAKE CITY UT 84121

(City) (State) (Zip)
1. Name and Address of Reporting Person*
vSpring III D, L.P.

(Last) (First) (Middle)
2795 E. COTTONWOOD PARKWAY, SUITE 360

(Street)
SALT LAKE CITY CA 84121

(City) (State) (Zip)
1. Name and Address of Reporting Person*
vSpring III L P

(Last) (First) (Middle)
2795 E. COTTONWOOD PARKWAY, SUITE 360

(Street)
SALT LAKE CITY UT 84121

(City) (State) (Zip)
Explanation of Responses:
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 vSpring SBIC, L.P. ("vSpring SBIC"), of which vSpring SBIC Management, L.L.C. ("vSpring SBIC Management") is the sole general partner and exercises voting and investment power over these shares. The managing members of vSpring SBIC Management are Scott Petty and Dinesh Patel. Scott Petty is a director of Issuer. vSpring SBIC, vSpring III D (as defined below), vSpring III (as defined below) and vSpring Partners (as defined below) may be deemed to be members of a Section 13(d) "group." vSpring Management III (as defined below), vSpring Management III D (as defined below), vSpring III D, vSpring III and vSpring Partners disclose the existence of such group and disclaim beneficial ownership of any shares held by vSpring SBIC.
3. The reporting persons and their managing members 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 any of the reporting persons or their managing members are the beneficial owners of such securities for Section 16 or any other purpose.
4. These shares are owned directly by vSpring III D, L.P. ("vSpring III D"), of which vSpring Management III D, L.L.C. ("vSpring Management III D") is the sole general partner and exercises voting and investment power over these shares. The managing members of vSpring Management III D are Scott Petty, Dinesh Patel, Ron Heinz and Brandon Tidwell. Scott Petty is a director of Issuer. vSpring III D, vSpring SBIC, vSpring III (as defined below) and vSpring Partners (as defined below) may be deemed to be members of a Section 13(d) "group." vSpring SBIC, vSpring SBIC Management, vSpring Management III (as defined below), vSpring III and vSpring Partners disclose the existence of such group and disclaim beneficial ownership of any shares held by vSpring III D.
5. These shares are owned directly by vSpring III, L.P. ("vSpring III"), of which vSpring Management III, L.L.C. ("vSpring Management III") is the sole general partner and exercises voting and investment power over these shares. The managing members of vSpring Management III are Scott Petty, Dinesh Patel, Ron Heinz and Brandon Tidwell. Scott Petty is a director of Issuer. vSpring III, vSpring SBIC, vSpring III D and vSpring Partners (as defined below) may be deemed to be members of a Section 13(d) "group." vSpring SBIC, vSpring SBIC Management, vSpring Management III D, vSpring III D and vSpring Partners disclose the existence of such group and disclaim beneficial ownership of any shares held by vSpring III.
6. These shares are owned directly by vSpring Partners III, L.P. ("vSpring Partners"), of which vSpring Management III is the sole general partner and exercises voting and investment power over these shares. The managing members of vSpring Management III are Scott Petty, Dinesh Patel, Ron Heinz and Brandon Tidwell. Scott Petty is a director of Issuer. vSpring Partners, vSpring III D, vSpring SBIC and vSpring III may be deemed to be members of a Section 13(d) "group." vSpring SBIC, vSpring SBIC Management, vSpring Management III D, vSpring III D and vSpring III disclose the existence of such group and disclaim beneficial ownership of any shares held by vSpring Partners.
vSpring Management III D, L.L.C., /s/ Scott R. Petty, Managing Member 08/01/2013
vSpring Management III, L.L.C., /s/ Scott R. Petty, Managing Member 08/01/2013
vSpring Partners III, L.P., /s/ Scott R. Petty, Managing Member of vSpring Management III, LLC, its General Partner 08/01/2013
vSpring SBIC Management, L.L.C., /s/ Scott R. Petty, Managing Member 08/01/2013
vSpring SBIC, L.P., /s/ Scott R. Petty, Managing Member of vSpring SBIC Management, LLC, its General Partner 08/01/2013
vSpring III D, L.P. /s/ Scott R. Petty, Managing Member of vSpring Management III D, LLC, its General Partner 08/01/2013
vSpring III, L.P., /s/ Scott R. Petty, Managing Member of vSpring Management III, LLC, its General Partner 08/01/2013
** 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 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).
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.
LIMITED POWER OF ATTORNEY

The undersigned hereby constitutes and appoints each of Martin Plaehn, Dan
Strong, Greg Bishop and Richard Kline, signing singly, and with full power of
substitution, the undersigned's true and lawful attorney-in-fact to:

(1) execute for and on behalf of the undersigned, in the undersigned's capacity
as a Section 16 reporting person of Control4 Corporation (the "Company"), from 
time to time the following U.S. Securities and Exchange Commission ("SEC")
forms: (i) Form ID, including any attached documents, to effect the assignment
of codes to the undersigned to be used in the transmission of information to
the SEC using the EDGAR System;(ii) Form 3, Initial Statement of Beneficial
Ownership of Securities, including any attached documents;(iii) Form 4, 
Statement of Changes in Beneficial Ownership of Securities, including any 
attached documents; (iv) Form 5, Annual Statement of Beneficial Ownership of 
Securities in accordance with Section 16(a) of the Securities Exchange Act of
1934, as amended, and the rules thereunder, including any attached documents;
(v) Schedule 13D and (vi) amendments of each thereof, in accordance with the
Securities Exchange Act of 1934, as amended, and the rules thereunder, 
including
 any attached documents;

(2) do and perform any and all acts for and on behalf of the undersigned which
may be necessary or desirable to complete and execute any such Form 3, 4 or 5,
Schedule 13D or any amendment(s) thereto, and timely file such form(s) with the
SEC and any securities exchange, national association or similar authority; and

(3) take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit to,
in the best interest of, or legally required by, the undersigned, it being
understood that the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.

The undersigned hereby grants to each such attorney-in-fact, acting singly, full
power and authority to do and perform any and every act and thing whatsoever
requisite, necessary or proper to be done in the exercise of any of the rights
and powers herein granted, as fully to all intents and purposes as the
undersigned might or could do if personally present, with full power of
substitution or revocation, hereby ratifying and confirming all that such
attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall
lawfully do or cause to be done by virtue of this power of attorney and the
rights and powers herein granted. The undersigned acknowledges that the
foregoing attorneys-in-fact, in serving in such capacity at the request of the
undersigned, are not assuming, nor is the Company assuming, any of the
undersigned's responsibilities to comply with Section 16 or Regulation 13D-G of
the Securities Exchange Act of 1934, as amended. The undersigned hereby agrees
to indemnify the attorney in fact and the Company from and against any demand,
damage, loss, cost or expense arising from any false or misleading information
provided by the undersigned to the attorney-in fact.

This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file such forms with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
foregoing attorneys-in-fact.

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of July 29, 2013.


vSpring III, L.P.
vSpring Partners III, L.P.
By vSpring Management III, L.L.C., its General Partner
/s/ Scott R. Petty, Managing Director

vSpring III D, L.P.
By vSpring Management III D, LLC, its General Partner
/s/ Scott R. Petty, Managing Director

vSpring Management III D, L.L.C. 
/s/ Scott R. Petty, Managing Director

vSpring Management III, L.L.C.
By Scott R. Petty, Managing Director

vSpring SBIC Management, L.L.C.
By Scott R. Petty, Managing Director