SEC Form 4 · accession 0000899243-16-031757
INTERMOLECULAR INC · IMI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rick Neely
Officer — SVP & Chief Financial Officer
Period of report
Oct 14, 2016
Accepted (ET)
Oct 17, 2016 · 4:35 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001311241
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 par valueF1 | Oct 14, 2016 | S | 4,586 | $0.9501 | D | 82,246 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This sale was conducted as described in Footnote 2. The shares were sold by the executing broker, and the Reporting Person was informed by the broker of the total number of shares sold for his account on October 14, 2016. Accordingly, pursuant to Rule 16a-3(g)(2), the deemed execution date was October 14, 2016.
- F2This sale was made as part of a "sell to cover taxes" arrangement in connection with the October 12, 2016 vesting of certain shares of restricted stock that the Reporting Person acquired pursuant to a restricted stock grant dated November 7, 2013. The sale was made pursuant to 10b5-1 plan entered into by the Reporting Person. No shares were withheld by or surrendered to the issuer.