SEC Form 4 · accession 0000899243-17-005800
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
Feb 28, 2017
Accepted (ET)
Mar 1, 2017 · 4:57 pm EST
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 | Feb 28, 2017 | S | 1,145 | $1.0205 | D | 83,601 | 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 February 28, 2017. Accordingly, pursuant to Rule 16a-3(g)(2), the deemed execution date was February 28, 2017.
- F2This sale was made as part of a "sell to cover taxes" arrangement in connection with the February 26, 2017 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 10b5-1 plan entered into by the Reporting Person. No shares were withheld by or surrendered to the issuer.