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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $ 2.25 | 10/12/2014(1) | A | 2,880,000 | (2) | 10/11/2024(1) | Common Stock | 2,880,000 | $ 0 | 2,880,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MCWILLIAMS BRUCE M INTERMOLECULAR, INC. 3011 NORTH FIRST STREET SAN JOSE, CA 95134 |
X | President and CEO |
/s/ Bruce M. McWilliams | 01/22/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | THIS AMENDED FORM 4 DOES NOT REFLECT ANY NEW TRANSACTIONS. IT IS BEING FILED TO CORRECT THE TRANSACTION DATE IN COLUMN 3 AND THE EXPIRATION DATE IN COLUMN 6. |
(2) | 1/48th of the original number of shares subject to the stock option shall vest and become exercisable on each monthly anniversary of the Vesting Commencement Date, so that all of the shares subject to the stock option shall be vested and exercisable on the fourth anniversary of the Vesting Commencement Date, subject to the Optionee's continuous service to the Company through each vesting date. The stock option shall be subject to additional vesting provisions contained within the McWilliams Employment Agreement. |