SEC Form 4 · accession 0000921895-16-006358
INTERMOLECULAR INC · IMI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Dec 15, 2016
Accepted (ET)
Dec 19, 2016 · 8:59 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, $.001 par valueF1,F2 | Dec 15, 2016 | P | 10,200 | $0.9943 | A | 14,527,257 | I | By Raging Capital Master Fund, Ltd. |
| Common Stock, $.001 par valueF1,F2 | Dec 15, 2016 | P | 76,894 | $1.00 | A | 14,604,151 | I | By Raging Capital Master Fund, Ltd. |
| Common Stock, $.001 par valueF1,F2 | Dec 15, 2016 | P | 5,800 | $1.01 | A | 14,609,951 | I | By Raging Capital Master Fund, Ltd. |
| Common Stock, $.001 par valueF1,F2 | Dec 16, 2016 | P | 121,400 | $1.0407 | A | 14,731,351 | I | By Raging Capital Master Fund, Ltd. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form 4 is filed jointly by Raging Capital Management, LLC ("Raging Capital") and William C. Martin (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.
- F2Represents securities held directly by Raging Capital Master Fund, Ltd. ("Raging Master"). Raging Capital is the Investment Manager of Raging Master. William C. Martin is the Chairman, Chief Investment Officer and Managing Member of Raging Capital. Raging Master has delegated to Raging Capital the sole authority to vote and dispose of the securities held by Raging Master pursuant to an Investment Management Agreement, dated November 9, 2012 (the "IMA"). The IMA may be terminated by any party thereto effective at the close of business on the last day of any fiscal quarter by giving the other party not less than sixty-one days' written notice. As a result, each of Raging Capital and William C. Martin may be deemed to beneficially own the securities held by Raging Master. Raging Master specifically disclaims beneficial ownership of the securities held by it by virtue of its inability to vote or dispose of such securities as a result of the IMA.