SEC Form 4 · accession 0001548538-18-000004
INTERMOLECULAR INC · IMI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Philip M Young
10% Owner
Steven M Krausz
10% Owner
David E Liddle
10% Owner
Jonathan D Root
10% Owner
U S Venture Partners IX L P
10% Owner
Paul A Matteucci
10% Owner
Casey M Tansey
10% Owner
Presidio Management Group IX, L.L.C.
10% Owner
Period of report
Nov 8, 2018
Accepted (ET)
Nov 13, 2018 · 5:18 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,F2 | Nov 8, 2018 | J | 4,280,779 | — | D | 0 | I | Directly owned by USVP IX |
| Common Stock, $0.001 per shareF1 | Nov 8, 2018 | J | 856,155 | — | A | 856,155 | D | |
| Common Stock, $0.001 per shareF1 | Nov 8, 2018 | J | 856,155 | — | D | 0 | D | |
| Common Stock, $0.001 per shareF1,F2 | Nov 8, 2018 | J | 102,093 | — | A | 102,093 | I | Directly owned by Steven Krausz |
| Common Stock, $0.001 per shareF3,F2 | Nov 12, 2018 | S | 2,100 | $0.9556 | D | 99,993 | I | Directly owned by Steven Krausz |
| Common Stock, $0.001 per shareF2 | Nov 13, 2018 | S | 2,400 | $0.95 | D | 97,593 | I | Directly owned by Steven Krausz |
| Common Stock, $0.001 per shareF1,F2 | Nov 8, 2018 | J | 69,609 | — | A | 69,609 | I | Directly owned by David Liddle |
| Common Stock, $0.001 per shareF1,F2 | Nov 8, 2018 | J | 60,408 | — | A | 60,408 | I | Directly owned by Paul Matteucci |
| Common Stock, $0.001 per shareF1,F2 | Nov 8, 2018 | J | 85,851 | — | A | 85,851 | I | Directly owned by Jonathan Root |
| Common Stock, $0.001 per shareF1,F2 | Nov 8, 2018 | J | 60,336 | — | A | 60,336 | I | Directly owned by Casey Tansey |
| Common Stock, $0.001 per shareF1,F2 | Nov 8, 2018 | J | 82,370 | — | A | 82,370 | I | Directly owned by Philip Young |
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.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $.95 to $.96, inclusive for sales made on November 12, 2018. The reporting persons undertake to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.