Filing Details

Accession Number:
0001548538-18-000004
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-11-13 17:18:30
Reporting Period:
2018-11-08
Accepted Time:
2018-11-13 17:18:30
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1311241 Intermolecular Inc IMI () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1048637 M Philip Young 1460 El Camino Real, Suite 100
Menlo Park CA 94025
No No Yes No
1190636 M Steven Krausz 1460 El Camino Real, Suite 100
Menlo Park CA 94025
No No Yes No
1212726 E David Liddle 1460 El Camino Real, Suite 100
Menlo Park CA 94025
No No Yes No
1225480 D Jonathan Root 1460 El Camino Real, Suite 100
Menlo Park CA 94025
No No Yes No
1309185 P L Ix Partners Venture S U 1460 El Camino Real, Suite 100
Menlo Park CA 94025
No No Yes No
1370817 A Paul Matteucci 1460 El Camino Real, Suite 100
Menlo Park CA 94025
No No Yes No
1474322 M Casey Tansey 1460 El Camino Real, Suite 100
Menlo Park CA 94025
No No Yes No
1527715 Presidio Management Group Ix, L.l.c. 1460 El Camino Real, Suite 100
Menlo Park CA 94025
No No Yes 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 Per Share Disposition 2018-11-08 4,280,779 $0.00 0 No 4 J Indirect Directly owned by USVP IX
Common Stock, $0.001 Per Share Acquisiton 2018-11-08 856,155 $0.00 856,155 No 4 J Direct
Common Stock, $0.001 Per Share Disposition 2018-11-08 856,155 $0.00 0 No 4 J Direct
Common Stock, $0.001 Per Share Acquisiton 2018-11-08 102,093 $0.00 102,093 No 4 J Indirect Directly owned by Steven Krausz
Common Stock, $0.001 Per Share Disposition 2018-11-12 2,100 $0.96 99,993 No 4 S Indirect Directly owned by Steven Krausz
Common Stock, $0.001 Per Share Disposition 2018-11-13 2,400 $0.95 97,593 No 4 S Indirect Directly owned by Steven Krausz
Common Stock, $0.001 Per Share Acquisiton 2018-11-08 69,609 $0.00 69,609 No 4 J Indirect Directly owned by David Liddle
Common Stock, $0.001 Per Share Acquisiton 2018-11-08 60,408 $0.00 60,408 No 4 J Indirect Directly owned by Paul Matteucci
Common Stock, $0.001 Per Share Acquisiton 2018-11-08 85,851 $0.00 85,851 No 4 J Indirect Directly owned by Jonathan Root
Common Stock, $0.001 Per Share Acquisiton 2018-11-08 60,336 $0.00 60,336 No 4 J Indirect Directly owned by Casey Tansey
Common Stock, $0.001 Per Share Acquisiton 2018-11-08 82,370 $0.00 82,370 No 4 J Indirect Directly owned by Philip Young
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 J Indirect Directly owned by USVP IX
No 4 J Direct
No 4 J Direct
No 4 J Indirect Directly owned by Steven Krausz
No 4 S Indirect Directly owned by Steven Krausz
No 4 S Indirect Directly owned by Steven Krausz
No 4 J Indirect Directly owned by David Liddle
No 4 J Indirect Directly owned by Paul Matteucci
No 4 J Indirect Directly owned by Jonathan Root
No 4 J Indirect Directly owned by Casey Tansey
No 4 J Indirect Directly owned by Philip Young
Footnotes
  1. Represents a pro-rata, in-kind distribution by U.S. Venture Partners IX, L.P. ("USVP IX"), without additional consideration, to its partners.
  2. This report is one of two reports each on a separate Form 4; however, these forms are related to the same transaction being filed by the reporting persons. The shares are held of record by USVP IX. Presidio Management Group IX, LLC ("PMG IX") is the general partner of USVP IX and may be deemed to have sole voting and dispositive power over the shares held by USVP IX. Irwin Federman, a director of the Issuer, and each of Steven M. Krausz, David E. Liddle, Paul A. Matteucci, Jonathan D. Root, Casey Tansey, and Philip M. Young, are managing members of PMG IX, and may be deemed to share voting and dispositive power over the shares held by USVP IX. Such persons and entities disclaim beneficial ownership of shares held by USVP IX, except to the extent of any proportionate pecuniary interest therein.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $.95 to $.96, inclusive for sales made on November 12, 2018. The reporting persons undertake to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.