Filing Details
- Accession Number:
- 0001140361-13-031494
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-08-09 16:43:27
- Reporting Period:
- 2013-08-07
- Filing Date:
- 2013-08-09
- Accepted Time:
- 2013-08-09 16:43:27
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1259515 | Control4 Corp | CTRL | Electronic Components & Accessories (3670) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 858877 | Cisco Systems, Inc. | 170 West Tasman Dr San Jose CA 95134-1706 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-08-07 | 1,510,981 | $0.00 | 1,510,981 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2013-08-07 | 402,928 | $9.93 | 1,913,909 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2013-08-07 | 250,000 | $16.00 | 1,663,909 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-08-07 | 67,154 | $9.93 | 1,731,063 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2013-08-07 | 41,667 | $16.00 | 1,689,396 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | X | Direct | |
| No | 4 | S | Direct | |
| No | 4 | X | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series H Preferred Stock | Disposition | 2013-08-07 | 1,510,981 | $0.00 | 1,510,981 | $0.00 |
| Common Stock | Common Stock Warrant (right to buy) | Disposition | 2013-08-07 | 402,928 | $0.00 | 402,928 | $9.93 |
| Common Stock | Common Stock Warrant (right to buy) | Disposition | 2013-08-07 | 67,154 | $0.00 | 67,154 | $9.93 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 0 | 2011-01-21 | No | 4 | X | Direct | |
| 0 | 2011-02-15 | No | 4 | X | Direct |
Footnotes
- 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.
- 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.
- 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.
- None.
- This warrant expires upon the earlier of (i) an initial public offering of the Issuer's securities, or (ii) January 21, 2014.
- This warrant expires upon the earlier of (i) an initial public offering of the Issuer's securities, or (ii) February 15, 2014.
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