Sec Form 4 Filing - CISCO SYSTEMS, INC. @ CONTROL4 CORP - 2013-08-07

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, 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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1. Name and Address of Reporting Person
CISCO SYSTEMS, INC.
2. Issuer Name and Ticker or Trading Symbol
CONTROL4 CORP [ CTRL]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
170 WEST TASMAN DR
3. Date of Earliest Transaction (MM/DD/YY)
08/07/2013
(Street)
SAN JOSE, CA95134-1706
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 1,510,981 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)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: 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
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
CISCO SYSTEMS, INC.
170 WEST TASMAN DR
SAN JOSE, CA95134-1706
X
Signatures
Cisco Systems, Inc. By: /s/ Evan Sloves, Assistant Secretary 08/09/2013
Signature of Reporting Person Date
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.

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