Filing Details

Accession Number:
0001311241-14-000019
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-02-07 13:32:03
Reporting Period:
2014-02-06
Filing Date:
2014-02-07
Accepted Time:
2014-02-07 13:32:03
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1311241 Intermolecular Inc IMI Semiconductors & Related Devices (3674) 201616267
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1528626 E David Lazovsky Intermolecular, Inc.
3011 North First Street
San Jose CA 95134-2004
President & Ceo Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, $0.001 Par Value Disposition 2014-02-06 4,552 $4.02 2,745,638 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, $0.001 Par Value 45,882 Indirect By Children's Trust
Common Stock, $0.001 Par Value 35,487 Indirect By Wife
Common Stock, $0.001 Par Value 189,513 Indirect By GRAT
Common Stock, $0.001 Par Value 189,513 Indirect By Wife's GRAT
Footnotes
  1. This sale was conducted as described in Footnote 2. The shares were sold by the executing broker as part of aggregate sales for other employees of the issuer. The Reporting Person was informed by the broker of the total number of shares sold for his account on February 6, 2014. Accordingly, pursuant to Rule 16a-3(g)(2),the deemed execution date was February 6, 2014.
  2. This sale was made as part of a "sell to cover taxes" arrangement in connection with the February 4, 2014 vesting of certain shares of restricted stock that the Reporting Person acquired pursuant to a restricted stock grant dated February 4, 2013. 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.
  3. The transaction was executed in multiple trades at a price of $4.02, 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.
  4. These shares are held by The Lazovsky 2010 Irrevocable Children's Trust.
  5. These shares are held by The David E. Lazovsky 2010 Annuity Trust.
  6. These shares are held by The Juel D. Lazovsky 2010 Annuity Trust.