SEC Form 5 · accession 0001311241-15-000012
INTERMOLECULAR INC · IMI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas R Baruch
Director · 10% Owner
Period of report
Dec 31, 2014
Accepted (ET)
Feb 17, 2015 · 2:33 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 per shareF2 | Jun 13, 2013 | J | 999,529 | $0.00 | D | 6,375,971 | I | See Footnote |
| Common Stock, $0.001 per shareF2 | Sep 9, 2013 | J | 999,529 | $0.00 | D | 5,376,442 | I | See Footnote |
| Common Stock, $0.001 per shareF2 | Mar 12, 2014 | J | 999,529 | $0.00 | D | 4,376,913 | I | See Footnote |
| Common Stock, $0.001 per shareF3,F2 | Nov 10, 2014 | J | 4,376,913 | $2.20 | D | 0 | I | See Footnote |
| Common Stock, $0.001 per shareF5 | Jun 13, 2013 | J | 22,891 | $0.00 | D | 150,124 | I | See Footnote |
| Common Stock, $0.001 per shareF5 | Sep 9, 2013 | J | 22,891 | $0.00 | D | 127,233 | I | See Footnote |
| Common Stock, $0.001 per shareF5 | Mar 12, 2014 | J | 22,891 | $0.00 | D | 104,342 | I | See Footnote |
| Common Stock, $0.001 per shareF6,F5 | Nov 10, 2014 | J | 104,342 | $2.20 | D | 0 | I | See Footnote |
| Common Stock, $0.001 par value | holding | — | — | — | 4,067 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Distribution of shares in kind by CMEA Ventures VI, L.P. ("CMEA Ventures VI") on a pro rata basis to its partners.
- F2The shares are held by CMEA Ventures VI, L.P. ("CMEA Ventures VI"). Thomas R. Baruch, a member of Issuer's board of directors, was a general partner of CMEA Ventures VI Management, L.P. ("CMEA VI Management'), the general partner of CMEA Ventures VI, and had voting and investment power over the shares held by CMEA Ventures VI. Mr. Baruch disclaims beneficial ownership of the shares reported herein, except to the extent of his proportionate pecuniary interest therein.
- F3The shares were sold by CMEA Ventures VI, L.P. ("CMEA Ventures VI") to an affiliated entity of CMEA Ventures VI for $2.20 per share.
- F4Distribution of shares in kind by CMEA Ventures VI GmbH & Co. KG ("CMEA Ventures VI GmbH") on a pro rata basis to its partners.
- F5The shares are held by CMEA Ventures VI GmbH & Co. KG ("CMEA Ventures VI GmbH"). Thomas R. Baruch, a member of Issuer's board of directors, was a general partner of CMEA VI Management, the general partner of CMEA Ventures VI GmbH, and had voting and investment power over the shares held by CMEA Ventures VI GmbH. Mr. Baruch disclaims beneficial ownership of the shares reported herein, except to the extent of his proportionate pecuniary interest therein.
- F6The shares were sold by CMEA Ventures VI GmbH & Co. KG ("CMEA Ventures VI GmbH") to an affiliated entity of CMEA Ventures VI GmbH for $2.20 per share.