Filing Details
- Accession Number:
- 0001311241-14-000043
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-05 19:17:11
- Reporting Period:
- 2014-03-03
- Filing Date:
- 2014-03-05
- Accepted Time:
- 2014-03-05 19:17:11
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1311241 | Intermolecular Inc | IMI | Semiconductors & Related Devices (3674) | 201616267 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1528626 | E David Lazovsky | Intermolecular, Inc. 3011 North First Street San Jose CA 95134-2004 | President & Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock, $0.001 Par Value | Disposition | 2014-03-03 | 1,988 | $2.64 | 2,783,650 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock, $0.001 Par Value | 45,882 | Indirect | By Children's Trust |
Common Stock, $0.001 Par Value | 35,487 | Indirect | By Wife |
Common Stock, $0.001 Par Value | 189,513 | Indirect | By GRAT |
Common Stock, $0.001 Par Value | 189,513 | Indirect | By Wife's GRAT |
Footnotes
- This sale was conducted as described in Footnote 2. The shares were sold by the executing broker as part of aggregate sales for other employees of the issuer. The Reporting Person was informed by the broker of the total number of shares sold for his account on March 4, 2014. Accordingly, pursuant to Rule 16a-3(g)(2),the deemed execution date was March 4, 2014.
- This sale was made as part of a "sell to cover taxes" arrangement in connection with the March 1, 2014 vesting of certain shares of restricted stock that the Reporting Person acquired pursuant to a restricted stock grant dated March 29, 2012. The sale was made pursuant to a 10b5-1 plan entered into by the Reporting Person. No shares were withheld by or surrendered to the issuer.
- The transaction was executed in multiple trades at a price of $2.64, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.
- These shares are held by The Lazovsky 2010 Irrevocable Children's Trust.
- These shares are held by The David E. Lazovsky 2010 Annuity Trust.
- These shares are held by The Juel D. Lazovsky 2010 Annuity Trust.