SEC Form 4 · accession 0001548538-18-000003
INTERMOLECULAR INC · IMI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Irwin Federman
Director · 10% Owner
Period of report
Nov 8, 2018
Accepted (ET)
Nov 13, 2018 · 5:17 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 shareF1 | Nov 8, 2018 | J | 82,370 | — | A | 538,267 | D | |
| Common Stock, $0.001 per shareF1,F2 | Nov 8, 2018 | J | 4,280,779 | — | D | 0 | I | Directly owned by USVP IX |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a pro-rata, in-kind distribution by U.S. Venture Partners IX, L.P. ("USVP IX"), without additional consideration, to its partners.
- F2This report is one of two reports each on a separate Form 4; however, these forms are related to the same transaction being filed by the reporting persons. The shares are held of record by USVP IX. Presidio Management Group IX, LLC ("PMG IX") is the general partner of USVP IX and may be deemed to have sole voting and dispositive power over the shares held by USVP IX. Irwin Federman, a director of the Issuer, and each of Steven M. Krausz, David E. Liddle, Paul A. Matteucci, Jonathan D. Root, Casey Tansey, and Philip M. Young, are managing members of PMG IX, and may be deemed to share voting and dispositive power over the shares held by USVP IX. Such persons and entities disclaim beneficial ownership of shares held by USVP IX, except to the extent of any proportionate pecuniary interest therein.