SEC Form 4/A · accession 0001311241-15-000018
INTERMOLECULAR INC · IMI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Thomas R Baruch
Director · 10% Owner
Period of report
May 28, 2014
Accepted (ET)
Feb 17, 2015 · 3:52 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 value | holding | — | — | — | 4,067 | D | ||
| Common Stock, $0.001 par valueF1 | holding | — | — | — | 4,376,913 | I | See Footnote | |
| Common Stock, $0.001 par valueF2 | holding | — | — | — | 104,342 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3 | $2.59 | May 28, 2014 | A | 10,000 | A | — | May 27, 2024 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1The 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.
- F2The 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 VI GmbH. Mr. Baruch disclaims beneficial ownership of the shares reported herein, except to the extent of his proportionate pecuniary interest therein.
- F3The shares subject to the option will vest in full on the earlier to occur of (i) the first anniversary of the date of grant and (ii) the date of the annual meeting immediately following the date of grant, subject in each case to Reporting Person's continued service through the vesting date.