Filing Details
- Accession Number:
- 0001209191-17-032874
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-05-16 18:37:26
- Reporting Period:
- 2017-05-12
- Filing Date:
- 2017-05-16
- Accepted Time:
- 2017-05-16 18:37:26
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 319815 | Maxwell Technologies Inc | MXWL | Miscellaneous Electrical Machinery, Equipment & Supplies (3690) | 952390133 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1416939 | David Lyle | 3888 Calle Fortunada San Diego CA 92123 | Chief Financial Officer | No | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2017-05-12 | 9,631 | $0.00 | 17,411 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-05-12 | 13,003 | $0.00 | 30,414 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-05-12 | 20,680 | $0.00 | 51,094 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-05-12 | 16,378 | $5.96 | 34,716 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2017-05-12 | 9,631 | $0.00 | 9,631 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2017-05-12 | 13,003 | $0.00 | 13,003 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2017-05-12 | 20,680 | $0.00 | 20,680 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 28,890 | No | 4 | M | Direct | ||
| 26,006 | No | 4 | M | Direct | ||
| 0 | No | 4 | M | Direct |
Footnotes
- These units do not carry a conversion price.
- These shares were sold in the open market in order to meet the tax withholding obligations of the award holder in connection with the vesting of the holder's restricted stock unit awards.
- Award vests in annual installments over 4 years as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date.
- These units do not expire.
- This settlement is related to restricted stock units received under the Company's short-term incentive bonus plan. Restricted stock units received under the short-term incentive bonus plan were fully vested upon grant.
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