0001311241-14-000039.txt : 20140305 0001311241-14-000039.hdr.sgml : 20140305 20140305140828 ACCESSION NUMBER: 0001311241-14-000039 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140303 FILED AS OF DATE: 20140305 DATE AS OF CHANGE: 20140305 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: INTERMOLECULAR INC CENTRAL INDEX KEY: 0001311241 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 201616267 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3011 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: (408) 582-5700 MAIL ADDRESS: STREET 1: 3011 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Chiang Tony P. CENTRAL INDEX KEY: 0001528649 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35348 FILM NUMBER: 14668518 MAIL ADDRESS: STREET 1: INTERMOLECULAR, INC. STREET 2: 3011 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 4 1 wf-form4_139404649812959.xml FORM 4 X0306 4 2014-03-03 0 0001311241 INTERMOLECULAR INC IMI 0001528649 Chiang Tony P. INTERMOLECULAR, INC. 3011 NORTH FIRST STREET SAN JOSE CA 95134-2004 0 1 0 0 Chief Technology Officer Common Stock, $0.001 par value 2014-03-03 2014-03-04 4 S 0 1476 2.64 D 278797 D 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 March 4, 2014. Accordingly, pursuant to Rule 16a-3(g)(2),the deemed execution date was March 4, 2014. This sale was made as part of a "sell to cover taxes" arrangement in connection with the March 1, 2014 vesting of certain shares of restricted stock that the Reporting Person acquired pursuant to a restricted stock grant dated March 26, 2012. 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. The transaction was executed in multiple trades at a price of $2.64, 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. /s/ Tony P. Chiang 2014-03-05