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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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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
CONTROL4 CORP [ CTRL ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 08/07/2013 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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 | 08/07/2013 | C | 1,510,981(1) | A | (1) | 1,510,981 | D | |||
Common Stock | 08/07/2013 | X | 402,928(2) | A | $9.9273(2) | 1,913,909 | D | |||
Common Stock | 08/07/2013 | S(2) | 250,000(2) | D | $16(2) | 1,663,909 | D | |||
Common Stock | 08/07/2013 | X | 67,154(3) | A | $9.9273(3) | 1,731,063 | D | |||
Common Stock | 08/07/2013 | S(3) | 41,667(3) | D | $16(3) | 1,689,396 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 | ||||||||
Series H Preferred Stock | (1) | 08/07/2013 | C | 1,510,981(1) | (1) | (4) | Common Stock | 1,510,981(1) | $0 | 0 | D | ||||
Common Stock Warrant (right to buy) | $9.9273(2) | 08/07/2013 | X | 402,928(2) | 01/21/2011 | (5) | Common Stock | 402,928(2) | $0 | 0 | D | ||||
Common Stock Warrant (right to buy) | $9.9273(3) | 08/07/2013 | X | 67,154(3) | 02/15/2011 | (6) | Common Stock | 67,154(3) | $0 | 0 | D |
Explanation of Responses: |
1. On August 7, 2013, effective immediately prior to the closing of the Issuer's initial public offering, each share of Series H Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Preferred Stock had no expiration date. |
2. On August 7, 2013, Reporting Person exercised a warrant to purchase 402,928 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 250,000 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 152,928 shares. |
3. On August 7, 2013, Reporting Person exercised a warrant to purchase 67,154 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 41,667 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 25,487 shares. |
4. None. |
5. This warrant expires upon the earlier of (i) an initial public offering of the Issuer's securities, or (ii) January 21, 2014. |
6. This warrant expires upon the earlier of (i) an initial public offering of the Issuer's securities, or (ii) February 15, 2014. |
Remarks: |
Cisco Systems, Inc. By: /s/ Evan Sloves, Assistant Secretary | 08/09/2013 | |
** 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 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). | ||
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. |