Edgar Filing: CONTROL4 CORP

Ownership Submission

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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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3235-0104

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(Print or Type Responses)

1. Name and Address of Reporting Person ^*

Â Frazier Technology Management, LLC

2. Date of Event Requiring Statement (Month/Day/Year)
08/01/2013

3. Issuer Name and Ticker or Trading Symbol
CONTROL4 CORP [CTRL]

(Last)

(First)

(Middle)

601 UNION STREET, SUITE 3200

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 Original Filed(Month/Day/Year)

(Street)

SEATTLE,Â WAÂ 98101

6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person

(City)

(State)

(Zip)

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)

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.			SEC 1473 (7-02)
	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 control number.

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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security		6. Nature of Indirect Beneficial Ownership (Instr. 5)
Series B Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	1,419,244	$ ⁽¹⁾	I	By Frazier Technology Ventures II, L.P. ⁽²⁾
Series C Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	256,365	$ ⁽¹⁾	I	By Frazier Technology Ventures II, L.P. ⁽²⁾
Series D Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	188,536	$ ⁽¹⁾	I	By Frazier Technology Ventures II, L.P. ⁽²⁾
Series G Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	324,023	$ ⁽¹⁾	I	By Frazier Technology Ventures II, L.P. ⁽²⁾

Reporting Owners

Reporting Owner Name / Address	Relationships
Reporting Owner Name / Address	Director	10% Owner	Officer	Other
Frazier Technology Management, LLC 601 UNION STREET, SUITE 3200 SEATTLE,Â WAÂ 98101	Â	Â X	Â	Â
FRAZIER TECHNOLOGY VENTURES II L P 601 UNION STREET, SUITE 3200 SEATTLE,Â WAÂ 98101	Â	Â X	Â	Â
FTVM II, L.P. 601 UNION STREET, SUITE 3200 SEATTLE,Â WAÂ 98101	Â	Â X	Â	Â

Signatures

Frazier Technology Management, L.L.C. /s/ Len Jordan, Managing Member		08/01/2013
^**Signature of Reporting Person		Date
Frazier Technology Ventures II, L.P., By FTVM II, L.P., its general partner /s/ Len Jordan, Managing Member of Frazier Technology Management LLC, its general partner		08/01/2013
^**Signature of Reporting Person		Date
FTVM II, L.P. /s/ Len Jordan, Managing Member of Frazier Technology Management, L.L.C., its general partner		08/01/2013
^**Signature of Reporting Person		Date

Explanation of Responses:

*	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).
(1)	Each share of Issuer's Preferred Stock 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 Frazier Technology Ventures II, L.P. ("Frazier"), of which FTVM II, L.P. ("FTVM") is the sole general partner. Frazier Technology Management, L.L.C. ("Frazier Tech Management") is the sole general partner of FTVM and exercises voting and investment power over these shares. The managing members of Frazier Tech Management are Scott Darling, Paul Bialek, Frazier Management LLC and Len Jordan. Frazier, FTVM, Frazier Tech Management and the managing members of Frazier Tech Management 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 Frazier, FTVM, Frazier Tech Management or the managing members of Frazier Tech Management are the beneficial owners of such securities for Section 16 or any other purpose. Len Jordan is a director of Issuer.

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