0001311241-14-000138.txt : 20141022 0001311241-14-000138.hdr.sgml : 20141022 20141022191540 ACCESSION NUMBER: 0001311241-14-000138 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141020 FILED AS OF DATE: 20141022 DATE AS OF CHANGE: 20141022 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: 141168548 MAIL ADDRESS: STREET 1: INTERMOLECULAR, INC. STREET 2: 3011 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 4 1 wf-form4_141401972966632.xml FORM 4 X0306 4 2014-10-20 0 0001311241 INTERMOLECULAR INC IMI 0001528626 Lazovsky David E INTERMOLECULAR, INC. 3011 NORTH FIRST STREET SAN JOSE CA 95134-2004 0 0 0 1 Former President & CEO Common Stock, $0.001 par value 2014-10-20 4 S 0 4133 2.0831 D 2919079 D Common Stock, $0.001 par value 2014-10-20 4 S 0 4133 2.0831 D 2914946 D Common Stock, $0.001 par value 2014-10-20 4 S 0 1875 2.0831 D 2913071 D This sale was made as part of a "sell to cover taxes" arrangement in connection with the October 12, 2014 vesting of certain shares of restricted stock that the Reporting Person acquired pursuant to a restricted stock grant dated February 26, 2014. 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 $2.0831, 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. This sale was made as part of a "sell to cover taxes" arrangement in connection with the October 12, 2014 vesting of certain shares of restricted stock that the Reporting Person acquired pursuant to a restricted stock grant dated February 04, 2013. 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. This sale was made as part of a "sell to cover taxes" arrangement in connection with the October 12, 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. /s/Reed Birnbaum as Attorney-in-Fact for Mr. Lazovsky 2014-10-22