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

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Page 17 of 18 – SEC Filing

SCHEDULE A

Transactions in the Securities
During the Past 60 days

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 ($5.00 Strike Price)1 (100) 0.4790 02/14/2017
Sale of Common Stock (99,975) 5.6439 03/17/2017
Sale of Common Stock (89,185) 5.6283 03/17/2017
Short Sale of September 2017 Put Options ($5.00 Strike Price)1 (23) 0.2896 03/17/2017

VIEX SPECIAL
OPPORTUNITIES FUND II, LP

Short Sale of September 2017 Put Options ($5.00 Strike Price)1 (516) 0.5500 02/27/2017
Short Sale of September 2017 Put Options ($5.00 Strike Price)1 (5,000) 0.5500 02/28/2017
Short Sale of September 2017 Put Options ($5.00 Strike Price)1 (121) 0.5500 03/01/2017
Short Sale of September 2017 Put Options ($5.00 Strike Price)1 (50) 0.3180 03/02/2017
Short Sale of September 2017 Put Options ($5.00 Strike Price)1 (200) 0.4000 03/03/2017
Short Sale of September 2017 Put Options ($5.00 Strike Price)1 (1,000) 0.4500 03/10/2017
Sale of Common Stock (2,412) 5.6439 03/17/2017
Sale of Common Stock (2,152) 5.6283 03/17/2017
Short Sale of September 2017 Put Options ($5.00 Strike Price)1 (327) 0.2896 03/17/2017
Short Sale of September 2017 Put Options ($5.00 Strike Price)1 (700) 0.2500 03/31/2017

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