0001311241-13-000241.txt : 20131108 0001311241-13-000241.hdr.sgml : 20131108 20131108172031 ACCESSION NUMBER: 0001311241-13-000241 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131106 FILED AS OF DATE: 20131108 DATE AS OF CHANGE: 20131108 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: INTERMOLECULAR INC CENTRAL INDEX KEY: 0001311241 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 201616267 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3011 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: (408) 582-5700 MAIL ADDRESS: STREET 1: 3011 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lazovsky David E CENTRAL INDEX KEY: 0001528626 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35348 FILM NUMBER: 131205791 MAIL ADDRESS: STREET 1: INTERMOLECULAR, INC. STREET 2: 3011 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 4 1 wf-form4_138394922003221.xml FORM 4 X0306 4 2013-11-06 0 0001311241 INTERMOLECULAR INC IMI 0001528626 Lazovsky David E INTERMOLECULAR, INC. 3011 NORTH FIRST STREET SAN JOSE CA 95134-2004 1 1 0 0 President & CEO Common Stock, $0.001 par value 2013-11-06 4 S 0 10896 5.6481 D 2816294 D Common Stock, $0.001 par value 2013-11-07 4 S 0 6400 5.5937 D 2809894 D Common Stock, $0.001 par value 2013-11-08 4 S 0 21204 5.5399 D 2788690 D Common Stock, $0.001 par value 45882 I By Children's Trust Common Stock, $0.001 par value 35487 I By Wife Common Stock, $0.001 par value 189513 I By GRAT Common Stock, $0.001 par value 189513 I By Wife's GRAT The sale reported was effected pursuant to a Rule 10b5-1 Sales Plan adopted by Mr. Lazovsky on May 29, 2013. The transaction was executed in multiple trades in prices ranging from $5.48 to $5.79, 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. The transaction was executed in multiple trades in prices ranging from $5.55 to $5.69, 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. The transaction was executed in multiple trades in prices ranging from $5.425 to $5.65, 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. /s/ David E. Lazovsky 2013-11-08