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
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
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. 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) X Other (specify below)
Mmbr 13D group owning > 10%
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)
Common Stock 18,920 I By: Foundation Capital IV, L.P.(2)
Common Stock 149 I By: FC IV Active Advisors Fund, LLC(2)
Common Stock 160 I By: Foundation Capital IV Principals Fund, LLC(2)
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 C Convertible Preferred Stock (1) (1) Common Stock 1,770,469 (1) I By: Foundation Capital IV, L.P.(2)
Series C Convertible Preferred Stock (1) (1) Common Stock 13,981 (1) I By: FC IV Active Advisors Fund, LLC(2)
Series C Convertible Preferred Stock (1) (1) Common Stock 15,025 (1) I By: Foundation Capital IV Principals Fund, LLC(2)
Series D Convertible Preferred Stock (1) (1) Common Stock 890,389 (1) I By: Foundation Capital IV, L.P.(2)
Series D Convertible Preferred Stock (1) (1) Common Stock 7,031 (1) I By: FC IV Active Advisors Fund, LLC(2)
Series D Convertible Preferred Stock (1) (1) Common Stock 7,556 (1) I By: Foundation Capital IV Principals Fund, LLC(2)
Series E Convertible Preferred Stock (1) (1) Common Stock 863,962 (1) I By: Foundation Capital IV, L.P.(2)
Series E Convertible Preferred Stock (1) (1) Common Stock 6,822 (1) I By: FC IV Active Advisors Fund, LLC(2)
Series E Convertible Preferred Stock (1) (1) Common Stock 7,332 (1) I By: Foundation Capital IV Principals Fund, LLC(2)
Series F Convertible Preferred Stock (1) (1) Common Stock 1,132,980 (1) I By: Foundation Capital IV, L.P.(2)
Series F Convertible Preferred Stock (1) (1) Common Stock 8,947 (1) I By: FC IV Active Advisors Fund, LLC(2)
Series F Convertible Preferred Stock (1) (1) Common Stock 9,615 (1) I By: Foundation Capital IV Principals Fund, LLC(2)
Series G Convertible Preferred Stock (1) (1) Common Stock 79,699 (1) I By: Foundation Capital IV, L.P.(2)
Series G Convertible Preferred Stock (1) (1) Common Stock 629 (1) I By: FC IV Active Advisors Fund, LLC(2)
Series G Convertible Preferred Stock (1) (1) Common Stock 676 (1) I By: Foundation Capital IV Principals Fund, LLC(2)
Series G Convertible Preferred Stock (1) (1) Common Stock 240,332 (1) I Foundation Capital VI, L.P.(3)
Series G Convertible Preferred Stock (1) (1) Common Stock 2,684 (1) I By: Foundation Capital VI Principals Fund, LLC(3)
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 Management Co. VI, 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)
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. Foundation Capital Management Co. IV, LLC is the general partner of Foundation Capital IV, L.P., FC IV Active Advisors Fund, LLC and Foundation Capital IV Principals Fund, LLC. William B. Elmore, Kathryn C. Gould, Paul R. Holland, Paul G. Koontz, Michael N. Schuh and Warren M. Weiss are managing members of Foundation Capital Management Co. IV, LLC, 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. Each of the managing members of Foundation Capital Management Co. IV, LLC disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his or her pecuniary interest therein.
3. Foundation Capital Management Co. VI, LLC is the general partner of Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. William B. Elmore, Paul R. Holland, Paul G. Koontz, Charles P. Moldow, Richard A. Redelfs, Michael N. Schuh, Ashmeet S. Sidana, Steven P. Vassallo and Warren M. Weiss are the managing members of Foundation Capital Management Co. VI, LLC 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. Each of the managing members of Foundation Capital Management Co. VI, LLC disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his or her pecuniary interest therein.
/s/ Gail M. Haney as Attorney-In-Fact 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.