Filing Details
- Accession Number:
- 0001209191-16-113500
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-04-06 17:05:32
- Reporting Period:
- 2016-04-04
- Filing Date:
- 2016-04-06
- Accepted Time:
- 2016-04-06 17:05:32
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1288469 | Maxlinear Inc | MXL | Semiconductors & Related Devices (3674) | 141896129 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1478341 | Curtis Ling | C/O Maxlinear, Inc. 5966 La Place Court, Suite 100 Carlsbad CA 92008 | Chief Technical Officer | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock (Par Value $0.0001) | Acquisiton | 2016-04-04 | 4,800 | $6.93 | 126,764 | No | 4 | M | Direct | |
| Class A Common Stock (Par Value $0.0001) | Disposition | 2016-04-04 | 4,800 | $19.02 | 121,964 | No | 4 | S | Direct | |
| Class A Common Stock (Par Value $0.0001) | Acquisiton | 2016-04-05 | 10,000 | $0.00 | 131,964 | No | 4 | C | Direct | |
| Class A Common Stock (Par Value $0.0001) | Acquisiton | 2016-04-05 | 10,000 | $4.81 | 141,964 | No | 4 | M | Direct | |
| Class A Common Stock (Par Value $0.0001) | Acquisiton | 2016-04-05 | 12,000 | $5.64 | 153,964 | No | 4 | M | Direct | |
| Class A Common Stock (Par Value $0.0001) | Disposition | 2016-04-05 | 10,000 | $18.02 | 143,964 | No | 4 | S | Direct | |
| Class A Common Stock (Par Value $0.0001) | Disposition | 2016-04-05 | 10,000 | $18.02 | 133,964 | No | 4 | S | Direct | |
| Class A Common Stock (Par Value $0.0001) | Disposition | 2016-04-05 | 12,000 | $18.02 | 121,964 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | C | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock ($0.0001 Par Value) | Employee Stock Option (right to buy) | Disposition | 2016-04-04 | 4,800 | $0.00 | 4,800 | $6.93 |
| Class B Common Stock (Convertible Into Class A Common Stock) | Employee Stock Option (right to buy) | Disposition | 2016-04-05 | 10,000 | $0.00 | 10,000 | $1.16 |
| Class A Common Stock ($0.0001 Par Value) | Class B Common Stock (convertible into Class A Common Stock) | Acquisiton | 2016-04-05 | 10,000 | $0.00 | 10,000 | $0.00 |
| Class A Common Stock ($0.0001 Par Value) | Class B Common Stock (convertible into Class A Common Stock) | Disposition | 2016-04-05 | 10,000 | $0.00 | 10,000 | $0.00 |
| Class A Common Stock ($0.0001 Par Value) | Employee Stock Option (right to buy) | Disposition | 2016-04-05 | 10,000 | $0.00 | 10,000 | $4.81 |
| Class A Common Stock ($0.0001 Par Value) | Employee Stock Option (right to buy) | Disposition | 2016-04-05 | 12,000 | $0.00 | 12,000 | $5.64 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 55,186 | 2020-05-14 | No | 4 | M | Direct | |
| 18,033 | 2017-08-07 | No | 4 | M | Direct | |
| 687,736 | No | 4 | M | Direct | ||
| 677,736 | No | 4 | C | Direct | ||
| 60,000 | 2019-05-10 | No | 4 | M | Direct | |
| 76,000 | 2019-08-09 | No | 4 | M | Direct |
Footnotes
- The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on December 2, 2015.
- Represents the weighted average share price of an aggregate total of 4,800 shares sold in the price range of $19.00 to $19.09 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- Reflects shares of Class B common stock converted into an equivalent number of shares of Class A common stock pursuant to a power of attorney granted by the reporting person on December 2, 2015 in connection with the adoption of a Rule 10b5-1 trading plan.
- Represents the weighted average share price of an aggregate total of 10,000 shares sold in the price range of $17.67 to $18.36 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- Represents the weighted average share price of an aggregate total of 10,000 shares sold in the price range of $17.66 to $18.36 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- Represents the weighted average share price of an aggregate total of 12,000 shares sold in the price range of $17.66 to $18.36 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- Subject to the reporting person's continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) through each applicable vesting date, twenty five percent (25%) of the shares subject to the option vested and became exercisable on May 14, 2014, and an additional twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on each successive anniversary thereafter, such that the option shall be fully vested and exercisable on May 14, 2017.
- The shares subject to the option became fully vested and exercisable on August 7, 2011.
- Each share of Class B Common Stock is convertible into one share of Class A Common Stock, which is the publicly traded stock, upon certain transfers and at the option of the holder. On the seventh anniversary of the closing of the Registrant's initial public offering (March 29, 2017), the Class B Common Stock and the Class A Common Stock will automatically convert into a single class of Common Stock.
- Subject to the reporting person's continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) through each applicable vesting date, twenty five percent (25%) of the shares subject to the option vested and became exercisable on May 10, 2013, and an additional twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on each successive anniversary thereafter, such that the option shall be fully vested and exercisable on May 10, 2016.
- Subject to the reporting person's continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) through each applicable vesting date, one forty-eighth (1/48th) of the shares subject to the option shall vest and become exercisable on each one month anniversary of the vesting commencement date of August 9, 2012, such that the option shall be fully vested and exercisable on August 9, 2016.
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