Filing Details
- Accession Number:
- 0001072613-18-000145
- Form Type:
- 13G Filing
- Publication Date:
- 2018-02-14 10:58:54
- Filed By:
- Frazier Technology Ventures Ii L P
- Company:
- Control4 Corp (NASDAQ:CTRL)
- Filing Date:
- 2018-02-14
- SEC Url:
- 13G Filing
Filing
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
Control4 Corporation
(Name of Issuer)
Common Stock, $0.0001 par value per share
(Title of Class of Securities)
21240D 10 7
(CUSIP Number)
December 31, 2017
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☐ Rule 13d-1(b)
☐ Rule 13d-1(c)
☒ Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
| CUSIP No. 21240D 10 7 | 13G | Page 2 of 6 Pages |
| Item 1(a). | Name of Issuer: Control4 Corporation (the "Issuer") |
| Item 1(b). | Address of Issuer's Principal Executive Offices: |
11734 S. Election Road
Salt Lake City, UT 84020
| Item 2(a). | Name of Persons Filing: |
Frazier Technology Ventures II, L.P. ("FTV II"), FTVM II, L.P. ("FTVM L.P.") and Frazier Technology Management, L.L.C. ("FTVM L.L.C."), Len Jorden ("Jorden"), Scott Darling ("Darling"), (each, a "Reporting Person and collectively, the "Reporting Persons"). FTVM L.P. is the sole general partner of FTV II. FTVM L.L.C. is the sole general partner of FTVM L.P. Jorden and Darling (collectively, the "Members") are all of the members of FTVM L.L.C.
| Item 2(b). | Address of Principal Business Office or, if None, Residence: |
The address of each of the Reporting Persons is:
c/o Frazier Healthcare Partners
601 Union Street, Suite 3200
Seattle, WA 98101
| Item 2(c). | Citizenship: |
FTV II and FTVM L.P. are limited partnerships organized under the laws of the State of Delaware. FTVM L.L.C. is a limited liability company organized under the laws of the State of Delaware. Each of the Members is a United States Citizen.
| Item 2(d). | Title of Class of Securities: |
Common Stock, $0.0001 par value per share (the "Common Stock").
| 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: |
Not applicable.
| CUSIP No. 21240D 10 7 | 13G | Page 3 of 6 Pages |
| Item 4. | Ownership. |
Not applicable.
| Item 5. | Ownership of Five Percent or Less of a Class. |
Each Reporting Person has ceased to beneficially own five percent (5%) or more of the Issuer's outstanding Common Stock.
| Item 6. | Ownership of More than Five Percent on Behalf of Another Person. |
Not applicable.
| Item 7. | Identification and Classification of the Subsidiary which Acquired the Security Being Reported on By the Parent Holding Company or Control Person. |
Not applicable.
| Item 8. | Identification and Classification of Members of the Group. |
Not applicable.
| Item 9. | Notice of Dissolution of Group. |
Not applicable.
| Item 10. | Certification. |
Not applicable. This Schedule 13G is not filed pursuant to Rule 13d-1(b) or Rule 13d-1(c).
Material to be Filed as Exhibits.
Exhibit 1 – Agreement regarding filing of joint Amendment No. 1 to Schedule 13G.
Exhibit 2 – Power of Attorney regarding filings under the Securities Exchange Act of 1934, as amended.
| CUSIP No. 21240D 10 7 | 13G | Page 4 of 6 Pages |
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated February 14, 2018
FRAZIER TECHNOLOGY VENTURES II, L.P.
By: FTVM II, L.P., its General Partner
By: Frazier Technology Management, L.L.C., its General Partner
By: /s/ Steve R. Baily
Steve R. Bailey, Chief Financial Officer
FTVM II, L.P.
By: Frazier Technology Management, L.L.C., its General Partner
By: /s/ Steve R. Baily
Steve R. Bailey, Chief Financial Officer
FRAZIER TECHNOLOGY MANAGEMENT, L.L.C.
By: /s/ Steve R. Baily
Steve R. Bailey, Chief Financial Officer
*
Len Jordan
Len Jordan
*
Scott Darling
Scott Darling
*By: /s/ Steve R. Baily
Steve R. Bailey, as Attorney-in-Fact
This Amendment No. 2 to Schedule 13G was executed by Steve R. Bailey on behalf of the individuals listed above pursuant to a Power of Attorney a copy of which is attached as Exhibit 2.
| CUSIP No. 21240D 10 7 | 13G | Page 5 of 6 Pages |
EXHIBIT 1
AGREEMENT
Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, the undersigned hereby agree that only one statement containing the information required by Schedule 13G need to be filed with respect to the ownership by each of the undersigned of shares of Common Stock of Control4 Corporation.
Dated February 14, 2018
FRAZIER TECHNOLOGY VENTURES II, L.P.
By: FTVM II, L.P., its General Partner
By: Frazier Technology Management, L.L.C., its General Partner
By: /s/ Steve R. Baily
Steve R. Bailey, Chief Financial Officer
FTVM II, L.P.
By: Frazier Technology Management, L.L.C., its General Partner
By: /s/ Steve R. Baily
Steve R. Bailey, Chief Financial Officer
FRAZIER TECHNOLOGY MANAGEMENT, L.L.C.
By: /s/ Steve R. Baily
Steve R. Bailey, Chief Financial Officer
*
Len Jordan
Len Jordan
*
Scott Darling
Scott Darling
*By: /s/ Steve R. Bailey
Steve R. Bailey, as Attorney-in-Fact
This Agreement was executed by Steve R. Bailey on behalf of the individuals listed above pursuant to a Power of Attorney a copy of which is attached as Exhibit 2.
| CUSIP No. 21240D 10 7 | 13G | Page 6 of 6 Pages |
EXHIBIT 2
POWER OF ATTORNEY
KNOW ALL BY THESE PRESENTS, that each person whose signature appears below hereby constitutes and appoints Steve R. Bailey with full power to act singly, his true and lawful attorney-in-fact, with full power of substitution, to: (i) sign any and all instruments, certificates and documents that may be necessary, desirable or appropriate to be executed on behalf of himself as an individual or in his capacity as a general partner of any partnership or limited liability company, pursuant to Section 13 or 16 of the Securities Exchange Act of 1934, as amended, and any and all regulations promulgated thereunder, (ii) file the same (including any amendments thereto), with all exhibits thereto, and any other documents in connection therewith, with the Securities and Exchange Commission, and any stock exchange or similar authority and (iii) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this power of attorney shall be in such form and shall contain such terms and conditions as such attorney‑in‑fact may approve in such attorney‑in‑fact's discretion, granting unto said attorney-in-fact full power and authority to do and perform each and every act and thing necessary, desirable or appropriate.
Each of the undersigned hereby grant to the attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted.
This power of attorney shall remain in full force and effect until revoked by the undersigned in a signed writing delivered to the attorney-in-fact.
IN WITNESS WHEREOF, this Power of Attorney has been signed as of the 14th day of February, 2017.
| /s/ Len Jordan Len Jorden |
| /s/ Scott Darling Scott Darling |