Statement of Changes in Beneficial Ownership (4)
November 13 2018 - 5:31PM
Edgar (US Regulatory)
FORM 4
[
X
]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Presidio Management Group IX, L.L.C.
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2. Issuer Name
and
Ticker or Trading Symbol
INTERMOLECULAR INC
[
IMI
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
1460 EL CAMINO REAL, SUITE 100
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/8/2018
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(Street)
MENLO PARK, CA 94025
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, $0.001 per share
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11/8/2018
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J
(1)
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4280779
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D
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(1)
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0
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I
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Directly owned by USVP IX
(2)
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Common Stock, $0.001 per share
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11/8/2018
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J
(1)
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856155
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A
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(1)
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856155
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D
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Common Stock, $0.001 per share
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11/8/2018
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J
(1)
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856155
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D
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(1)
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0
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D
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Common Stock, $0.001 per share
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11/8/2018
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J
(1)
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102093
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A
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(1)
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102093
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I
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Directly owned by Steven Krausz
(2)
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Common Stock, $0.001 per share
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11/12/2018
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S
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2100
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D
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$.9556
(3)
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99993
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I
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Directly owned by Steven Krausz
(2)
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Common Stock, $0.001 per share
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11/13/2018
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S
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2400
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D
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$.95
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97593
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I
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Directly owned by Steven Krausz
(2)
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Common Stock, $0.001 per share
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11/8/2018
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J
(1)
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69609
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A
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(1)
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69609
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I
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Directly owned by David Liddle
(2)
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Common Stock, $0.001 per share
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11/8/2018
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J
(1)
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60408
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A
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(1)
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60408
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I
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Directly owned by Paul Matteucci
(2)
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Common Stock, $0.001 per share
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11/8/2018
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J
(1)
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85851
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A
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(1)
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85851
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I
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Directly owned by Jonathan Root
(2)
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Common Stock, $0.001 per share
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11/8/2018
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J
(1)
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60336
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A
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(1)
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60336
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I
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Directly owned by Casey Tansey
(2)
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Common Stock, $0.001 per share
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11/8/2018
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J
(1)
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82370
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A
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(1)
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82370
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I
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Directly owned by Philip Young
(2)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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Represents a pro-rata, in-kind distribution by U.S. Venture Partners IX, L.P. ("USVP IX"), without additional consideration, to its partners.
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(2)
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This 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.
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(3)
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The 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.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Presidio Management Group IX, L.L.C.
1460 EL CAMINO REAL, SUITE 100
MENLO PARK, CA 94025
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X
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U S Venture Partners IX L P
1460 EL CAMINO REAL, SUITE 100
MENLO PARK, CA 94025
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X
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KRAUSZ STEVEN M
1460 EL CAMINO REAL, SUITE 100
MENLO PARK, CA 94025
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X
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LIDDLE DAVID E
1460 EL CAMINO REAL, SUITE 100
MENLO PARK, CA 94025
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X
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Matteucci Paul A
1460 EL CAMINO REAL, SUITE 100
MENLO PARK, CA 94025
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X
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ROOT JONATHAN D
1460 EL CAMINO REAL, SUITE 100
MENLO PARK, CA 94025
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X
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Tansey Casey M
1460 EL CAMINO REAL, SUITE 100
MENLO PARK, CA 94025
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X
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YOUNG PHILIP M
1460 EL CAMINO REAL, SUITE 100
MENLO PARK, CA 94025
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X
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Signatures
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Dale Holladay - Attorney in Fact for each reporting person
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11/13/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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