Home/Filings/4/0001179110-13-012797

4//SEC Filing

vSpring Management III D, L.L.C. 4

Accession 0001179110-13-012797

CIK 0001259515other

View on SEC.gov Company Profile

Filed

Aug 6, 8:00 PM ET

Accepted

Aug 7, 1:16 PM ET

Size

41.6 KB

Accession

0001179110-13-012797

Insider Transaction Report

Form 4

Period: 2013-08-07

CONTROL4 CORPCTRL

vSpring III L P

10% Owner

Transactions

Conversion
Common Stock
2013-08-07+1,973,134→ 1,973,134 total(indirect: By vSpring SBIC, L.P)
Conversion
Common Stock
2013-08-07+63,542→ 63,542 total(indirect: By vSpring III D, L.P.)
Conversion
Series B Convertible Preferred Stock
2013-08-07−871,652→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (871,652 underlying)
Conversion
Series D Convertible Preferred Stock
2013-08-07−94,268→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (94,268 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−63,542→ 0 total(indirect: By vSpring III D, L.P.)
→ Common Stock (63,542 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−1,256→ 0 total(indirect: By vSpring Partners III, L.P.)
→ Common Stock (1,256 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−32,402→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (32,402 underlying)
Conversion
Common Stock
2013-08-07+1,256→ 1,256 total(indirect: By vSpring Partners III, L.P.)
Conversion
Common Stock
2013-08-07+226,819→ 226,819 total(indirect: By vSpring III, L.P.)
Conversion
Series A Convertible Preferred Stock
2013-08-07−692,307→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (692,307 underlying)
Conversion
Series C Convertible Preferred Stock
2013-08-07−282,505→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (282,505 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−226,819→ 0 total(indirect: By vSpring III, L.P.)
→ Common Stock (226,819 underlying)

vSpring Management III D, L.L.C.

10% Owner

Transactions

Conversion
Common Stock
2013-08-07+1,973,134→ 1,973,134 total(indirect: By vSpring SBIC, L.P)
Conversion
Common Stock
2013-08-07+63,542→ 63,542 total(indirect: By vSpring III D, L.P.)
Conversion
Common Stock
2013-08-07+226,819→ 226,819 total(indirect: By vSpring III, L.P.)
Conversion
Series D Convertible Preferred Stock
2013-08-07−94,268→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (94,268 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−1,256→ 0 total(indirect: By vSpring Partners III, L.P.)
→ Common Stock (1,256 underlying)
Conversion
Series A Convertible Preferred Stock
2013-08-07−692,307→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (692,307 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−226,819→ 0 total(indirect: By vSpring III, L.P.)
→ Common Stock (226,819 underlying)
Conversion
Series B Convertible Preferred Stock
2013-08-07−871,652→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (871,652 underlying)
Conversion
Common Stock
2013-08-07+1,256→ 1,256 total(indirect: By vSpring Partners III, L.P.)
Conversion
Series C Convertible Preferred Stock
2013-08-07−282,505→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (282,505 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−63,542→ 0 total(indirect: By vSpring III D, L.P.)
→ Common Stock (63,542 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−32,402→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (32,402 underlying)

vSpring Management III, L.L.C.

10% Owner

Transactions

Conversion
Common Stock
2013-08-07+1,973,134→ 1,973,134 total(indirect: By vSpring SBIC, L.P)
Conversion
Common Stock
2013-08-07+63,542→ 63,542 total(indirect: By vSpring III D, L.P.)
Conversion
Common Stock
2013-08-07+226,819→ 226,819 total(indirect: By vSpring III, L.P.)
Conversion
Common Stock
2013-08-07+1,256→ 1,256 total(indirect: By vSpring Partners III, L.P.)
Conversion
Series A Convertible Preferred Stock
2013-08-07−692,307→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (692,307 underlying)
Conversion
Series B Convertible Preferred Stock
2013-08-07−871,652→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (871,652 underlying)
Conversion
Series C Convertible Preferred Stock
2013-08-07−282,505→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (282,505 underlying)
Conversion
Series D Convertible Preferred Stock
2013-08-07−94,268→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (94,268 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−63,542→ 0 total(indirect: By vSpring III D, L.P.)
→ Common Stock (63,542 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−226,819→ 0 total(indirect: By vSpring III, L.P.)
→ Common Stock (226,819 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−1,256→ 0 total(indirect: By vSpring Partners III, L.P.)
→ Common Stock (1,256 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−32,402→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (32,402 underlying)

vSpring SBIC Management, L.L.C.

10% Owner

Transactions

Conversion
Series A Convertible Preferred Stock
2013-08-07−692,307→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (692,307 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−226,819→ 0 total(indirect: By vSpring III, L.P.)
→ Common Stock (226,819 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−1,256→ 0 total(indirect: By vSpring Partners III, L.P.)
→ Common Stock (1,256 underlying)
Conversion
Common Stock
2013-08-07+1,973,134→ 1,973,134 total(indirect: By vSpring SBIC, L.P)
Conversion
Common Stock
2013-08-07+63,542→ 63,542 total(indirect: By vSpring III D, L.P.)
Conversion
Common Stock
2013-08-07+226,819→ 226,819 total(indirect: By vSpring III, L.P.)
Conversion
Common Stock
2013-08-07+1,256→ 1,256 total(indirect: By vSpring Partners III, L.P.)
Conversion
Series B Convertible Preferred Stock
2013-08-07−871,652→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (871,652 underlying)
Conversion
Series C Convertible Preferred Stock
2013-08-07−282,505→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (282,505 underlying)
Conversion
Series D Convertible Preferred Stock
2013-08-07−94,268→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (94,268 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−63,542→ 0 total(indirect: By vSpring III D, L.P.)
→ Common Stock (63,542 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−32,402→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (32,402 underlying)

VSPRING SBIC LP

10% Owner

Transactions

Conversion
Common Stock
2013-08-07+63,542→ 63,542 total(indirect: By vSpring III D, L.P.)
Conversion
Common Stock
2013-08-07+226,819→ 226,819 total(indirect: By vSpring III, L.P.)
Conversion
Common Stock
2013-08-07+1,973,134→ 1,973,134 total(indirect: By vSpring SBIC, L.P)
Conversion
Series G Convertible Preferred Stock
2013-08-07−1,256→ 0 total(indirect: By vSpring Partners III, L.P.)
→ Common Stock (1,256 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−32,402→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (32,402 underlying)
Conversion
Series A Convertible Preferred Stock
2013-08-07−692,307→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (692,307 underlying)
Conversion
Common Stock
2013-08-07+1,256→ 1,256 total(indirect: By vSpring Partners III, L.P.)
Conversion
Series B Convertible Preferred Stock
2013-08-07−871,652→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (871,652 underlying)
Conversion
Series C Convertible Preferred Stock
2013-08-07−282,505→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (282,505 underlying)
Conversion
Series D Convertible Preferred Stock
2013-08-07−94,268→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (94,268 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−63,542→ 0 total(indirect: By vSpring III D, L.P.)
→ Common Stock (63,542 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−226,819→ 0 total(indirect: By vSpring III, L.P.)
→ Common Stock (226,819 underlying)

vSpring III D, L.P.

10% Owner

Transactions

Conversion
Common Stock
2013-08-07+63,542→ 63,542 total(indirect: By vSpring III D, L.P.)
Conversion
Common Stock
2013-08-07+226,819→ 226,819 total(indirect: By vSpring III, L.P.)
Conversion
Series D Convertible Preferred Stock
2013-08-07−94,268→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (94,268 underlying)
Conversion
Series B Convertible Preferred Stock
2013-08-07−871,652→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (871,652 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−226,819→ 0 total(indirect: By vSpring III, L.P.)
→ Common Stock (226,819 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−32,402→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (32,402 underlying)
Conversion
Common Stock
2013-08-07+1,256→ 1,256 total(indirect: By vSpring Partners III, L.P.)
Conversion
Common Stock
2013-08-07+1,973,134→ 1,973,134 total(indirect: By vSpring SBIC, L.P)
Conversion
Series A Convertible Preferred Stock
2013-08-07−692,307→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (692,307 underlying)
Conversion
Series C Convertible Preferred Stock
2013-08-07−282,505→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (282,505 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−63,542→ 0 total(indirect: By vSpring III D, L.P.)
→ Common Stock (63,542 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−1,256→ 0 total(indirect: By vSpring Partners III, L.P.)
→ Common Stock (1,256 underlying)

vSpring Partners III, L.P.

10% Owner

Transactions

Conversion
Common Stock
2013-08-07+1,256→ 1,256 total(indirect: By vSpring Partners III, L.P.)
Conversion
Common Stock
2013-08-07+1,973,134→ 1,973,134 total(indirect: By vSpring SBIC, L.P)
Conversion
Common Stock
2013-08-07+63,542→ 63,542 total(indirect: By vSpring III D, L.P.)
Conversion
Common Stock
2013-08-07+226,819→ 226,819 total(indirect: By vSpring III, L.P.)
Conversion
Series A Convertible Preferred Stock
2013-08-07−692,307→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (692,307 underlying)
Conversion
Series B Convertible Preferred Stock
2013-08-07−871,652→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (871,652 underlying)
Conversion
Series C Convertible Preferred Stock
2013-08-07−282,505→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (282,505 underlying)
Conversion
Series D Convertible Preferred Stock
2013-08-07−94,268→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (94,268 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−63,542→ 0 total(indirect: By vSpring III D, L.P.)
→ Common Stock (63,542 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−226,819→ 0 total(indirect: By vSpring III, L.P.)
→ Common Stock (226,819 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−1,256→ 0 total(indirect: By vSpring Partners III, L.P.)
→ Common Stock (1,256 underlying)
Conversion
Series G Convertible Preferred Stock
2013-08-07−32,402→ 0 total(indirect: By vSpring SBIC, L.P.)
→ Common Stock (32,402 underlying)

Footnotes (6)

[F1]Each share of Issuer's Preferred Stock automatically converted 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.
[F2]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.
[F3]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.
[F4]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.
[F5]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.
[F6]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.

Documents

1 file

4
edgar.xmlPrimary
FORM 4 -

Issuer

CONTROL4 CORP

CIK 0001259515

→

Entity typeother

IncorporatedDE

Related Parties

filerCIK 0001582837

Filing Metadata

Form type: 4
Filed: Aug 6, 8:00 PM ET
Accepted: Aug 7, 1:16 PM ET
Size: 41.6 KB

View on SEC.gov