13D Filing: Viex Capital Advisors, LLC and Maxwell Technologies Inc (MXWL)

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Page 16 of 16 – SEC Filing

  SCHEDULE A

Transactions in the Securities
Since the Filing of Amendment No. 1 to the Schedule 13D

 

Nature of Transaction

Securities

Purchased/(Sold)

Price Per

Share($)

Date of

Purchase / Sale

VIEX
OPPORTUNITIES FUND, LP – Series One

 

Short Sale of September 2017 Put Options ($6.00 Strike Price) 1 (500) 0.7000 04/12/2017
Sale of Common Stock (12,540) 5.9016 04/24/2017
Sale of Common Stock (86,396) 6.0549 04/25/2017
Short Sale of December 2017 Put Options ($6.00 Strike Price)1 (1,000) 0.6500 04/25/2017
Sale of Common Stock (60,934) 6.1797 04/26/2017
Short Sale of December 2017 Put Options ($6.00 Strike Price) 1 (633) 0.7500 05/02/2017
Sale of Common Stock (113) 6.1000 05/05/2017
Sale of Common Stock (14,072) 6.0337 05/09/2017
Sale of Common Stock (56) 6.3550 05/10/2017
Sale of Common Stock (23,303) 6.1768 05/11/2017

 

VIEX
SPECIAL OPPORTUNITIES FUND ii, LP

 

 

Sale of Common Stock (20,825) 6.0345 04/11/2017
Short Sale of September 2017 Put Options ($5.00 Strike Price) 1 (700) 0.2070 04/11/2017
Short Sale of September 2017 Put Options ($6.00 Strike Price) 1 (500) 0.7000 04/12/2017
Sale of Common Stock (2,390) 5.8529 04/13/2017
Sale of Common Stock (4,133) 5.8704 04/19/2017

 

VIEX
SPECIAL OPPORTUNITIES FUND Iii, LP

 

 

Sale of Common Stock (9,739) 5.9016 04/24/2017
Sale of Common Stock (67,096) 6.0549 04/25/2017
Short Sale of December 2017 Put Options ($6.00 Strike Price) 1 (1,000) 0.6500 04/25/2017
Sale of Common Stock (47,322) 6.1797 04/26/2017
Short Sale of December 2017 Put Options ($6.00 Strike Price) 1 (492) 0.7500 05/02/2017
Sale of Common Stock (87) 6.1000 05/05/2017
Sale of Common Stock (10,928) 6.0337 05/09/2017
Sale of Common Stock (44) 6.3550 05/10/2017
Sale of Common Stock (18,097) 6.1768 05/11/2017

  


1
Represents American-Style put option sold short in the over-the-counter market.

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