CUSIP No. 21240D 10 7 | 13G | Page 2 of 11 Pages |
1
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NAMES OF REPORTING PERSONS
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Frazier Technology Ventures II, L.P.
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)☐
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(b)☒
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Delaware
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5
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SOLE VOTING POWER
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1,992,025
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6
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SHARED VOTING POWER
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0
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7
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SOLE DISPOSITIVE POWER
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1,992,025
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8
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SHARED DISPOSITIVE POWER
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0
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|||
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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1,992,025
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||||
10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
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☐
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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8.43%
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12
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TYPE OF REPORTING PERSON
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PN
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CUSIP No. 21240D 10 7 | 13G | Page 3 of 11 Pages |
1
|
NAMES OF REPORTING PERSONS
|
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|
||
FTVM II, L.P.
|
|
|
|||
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|
||||
2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☐
|
|||||
(b)☒
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
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||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Delaware
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
1,992,025
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
1,992,025
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
1,992,025
|
|
|
|||
|
|
||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
|
|
||
☐
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
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||
8.43%
|
|
|
|||
|
|
||||
12
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TYPE OF REPORTING PERSON
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||
PN
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|||
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CUSIP No. 21240D 10 7 | 13G | Page 4 of 11 Pages |
1
|
NAMES OF REPORTING PERSONS
|
|
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||
Frazier Technology Management, L.L.C.
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☐
|
|||||
(b)☒
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
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|
||||
4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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|
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||
Delaware
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
1,992,025
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
1,992,025
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
1,992,025
|
|
|
|||
|
|
||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
|
|
||
☐
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
8.43%
|
|
|
|||
|
|
||||
12
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TYPE OF REPORTING PERSON
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||
OO
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CUSIP No. 21240D 10 7 | 13G | Page 5 of 11 Pages |
1
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NAMES OF REPORTING PERSONS
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Len Jordan
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|||
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☐
|
|||||
(b)☒
|
|
|
|||
3
|
SEC USE ONLY
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||
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|||
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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United States citizen
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||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
1,992,025
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
1,992,025
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
1,992,025
|
|
|
|||
|
|
||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
|
|
||
☐
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
8.43%
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON
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IN
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CUSIP No. 21240D 10 7 | 13G | Page 6 of 11 Pages |
1
|
NAMES OF REPORTING PERSONS
|
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|
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Scott Darling
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☐
|
|||||
(b)☒
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
United States citizen
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
1,992,025
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
1,992,025
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
1,992,025
|
|
|
|||
|
|
||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
|
|
||
☐
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
8.43%
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON
|
|
|
||
IN
|
|
|
|||
|
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CUSIP No. 21240D 10 7 | 13G | Page 7 of 11 Pages |
Item 1(a). | Name of Issuer: Control4 Corporation (the "Issuer") |
Item 1(b). | Address of Issuer's Principal Executive Offices: |
Item 2(a). | Name of Persons Filing: |
Item 2(b). | Address of Principal Business Office or, if None, Residence: |
Item 2(c). | Citizenship: |
Item 2(d). | Title of Class of Securities: |
Item 2(e). | CUSIP Number: 21240D107 |
Item 3. | If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: |
CUSIP No. 21240D 10 7 | 13G | Page 8 of 11 Pages |
Item 4. | Ownership. |
(a)
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Amount Beneficially Owned: FTV II is the record owner of 1,992,025 Common Stock (the "Record Shares"). As the general partner of FTV II, FTVM L.P. may be deemed to own beneficially the Record Shares. As the general partner of FTVM L.P., FTVM L.L.C. likewise may be deemed to own beneficially the Record Shares. As the managing members of FTVM L.L.C., each of the Members also may be deemed to own beneficially the Record Shares.
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(b)
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Percent of Class: See Line 11 of the cover sheets. In accordance with Rule 13d-1(j), the percentages relating to beneficial ownership of Common Stock are based on 23,639,120 Common Stock reported by the Issuer to be outstanding as of October 28, 2016 as set forth in the Issuer's most recent Form 10-Q filed with the Securities and Exchange Commission on November 4, 2016.
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(i) | sole power to vote or to direct the vote: see line 5 of cover sheets. |
(ii) | shared power to vote or to direct the vote: see line 6 of cover sheets. |
(iii) | sole power to dispose or to direct the disposition: see line 7 of cover sheets. |
(iv) | shared power to dispose or to direct the disposition: see line 8 of cover sheets. |
Item 5. | Ownership of Five Percent or Less of a Class. |
Item 6. | Ownership of More than Five Percent on Behalf of Another Person. |
Item 7. | Identification and Classification of the Subsidiary which Acquired the Security Being Reported on By the Parent Holding Company or Control Person. |
Item 8. | Identification and Classification of Members of the Group. |
Item 9. | Notice of Dissolution of Group. |
Item 10. | Certification. |
CUSIP No. 21240D 10 7 | 13G | Page 9 of 11 Pages |
CUSIP No. 21240D 10 7 | 13G | Page 10 of 11 Pages |
CUSIP No. 21240D 10 7 | 13G | Page 11 of 11 Pages |
/s/ Len Jordan |
/s/ Scott Darling |