Filing Details
- Accession Number:
- 0001209191-18-012665
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-02-22 18:37:52
- Reporting Period:
- 2018-02-20
- Accepted Time:
- 2018-02-22 18:37:52
- 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 |
|---|---|---|---|---|---|---|---|
| 1534350 | J. Michael Lachance | C/O Maxlinear, Inc. 5966 La Place Court, Suite 100 Carlsbad CA 92008 | Vice President, Operations | 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 | 2018-02-20 | 2,621 | $0.00 | 70,582 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-02-20 | 2,621 | $23.12 | 67,961 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2018-02-21 | 25,000 | $4.81 | 92,961 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-02-21 | 25,000 | $23.08 | 67,961 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | 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 | 2018-02-20 | 458 | $0.00 | 458 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2018-02-20 | 756 | $0.00 | 756 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2018-02-20 | 902 | $0.00 | 902 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2018-02-20 | 505 | $0.00 | 505 | $0.00 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-02-21 | 25,000 | $0.00 | 25,000 | $4.81 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,328 | No | 4 | M | Direct | ||
| 10,938 | No | 4 | M | Direct | ||
| 18,269 | No | 4 | M | Direct | ||
| 17,529 | No | 4 | M | Direct | ||
| 25,000 | 2019-05-10 | No | 4 | M | Direct |
Footnotes
- Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock.
- Represents the weighted average share price of an aggregate total of 25,000 shares sold in the price range of $23.00 to $23.25 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, one-sixteenth (1/16th) of the 21,237 RSUs subject to the award shall vest on August 20, 2014, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2018.
- 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-sixteenth (1/16th) of the 35,000 RSUs subject to the award shall vest on August 20, 2015, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2019.
- 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, the one-sixteenth (1/16th) of the 41,757 RSUs subject to the award shall vest on February 20, 2016, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive May 20, August 20, November 20, and February 20 thereafter, such that the award will be fully vested on November 20, 2019.
- 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-sixteenth (1/16th) of the 23,373 RSUs subject to the award shall vest on May 20, 2017, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive August 20, November 20, February 20 and May 20 thereafter, such that the award will be fully vested on February 20, 2021.
- 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 50,000 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 vested and became exercisable on each successive anniversary thereafter, such that the option became fully vested and exercisable on May 10, 2016.
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