SEC Form 4 · accession 0001179110-15-013923
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 5, 2015
Accepted (ET)
Oct 7, 2015 · 5:27 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 valueF2 | Oct 5, 2015 | S | 3,807 | $1.8611 | D | 98,902 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This sale was made as part of a "sell to cover taxes" arrangement in connection with the October 2, 2015 vesting of certain shares of restricted stock that the Reporting Person acquired pursuant to a restricted stock grant dated October 2, 2015. 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.
- F2The transaction was executed in multiple trades in prices ranging from $1.80 to $1.90, 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.