Filing Details
- Accession Number:
- 0001288469-20-000093
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-05-13 19:44:13
- Reporting Period:
- 2020-05-11
- Accepted Time:
- 2020-05-13 19:44:13
- 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 |
|---|---|---|---|---|---|---|---|
| 1478340 | Kishore Seendripu | C/O Maxlinear, Inc. 5966 La Place Court, Suite 100 Carlsbad CA 92008 | Chairman, President And Ceo | Yes | Yes | Yes | 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 | 2020-05-11 | 24,410 | $6.93 | 101,260 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-05-11 | 17,306 | $17.01 | 83,954 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-05-12 | 23,810 | $6.93 | 107,764 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-05-12 | 16,677 | $17.17 | 91,087 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-05-13 | 11,905 | $6.93 | 102,992 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-05-13 | 8,563 | $15.67 | 94,429 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | Stock Option (right to buy) | Disposition | 2020-05-11 | 24,410 | $0.00 | 24,410 | $6.93 |
| Common Stock | Stock Option (right to buy) | Disposition | 2020-05-12 | 23,810 | $0.00 | 23,810 | $6.93 |
| Common Stock | Stock Option (right to buy) | Disposition | 2020-05-13 | 11,905 | $0.00 | 11,905 | $6.93 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 47,620 | 2020-05-14 | No | 4 | M | Direct | |
| 23,810 | 2020-05-14 | No | 4 | M | Direct | |
| 11,905 | 2020-05-14 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 230,002 | Indirect | See footnote |
| Common Stock | 582,064 | Indirect | See footnote |
| Common Stock | 582,064 | Indirect | See footnote |
| Common Stock | 805,622 | Indirect | See footnote |
| Common Stock | 805,622 | Indirect | See footnote |
| Common Stock | 500,000 | Indirect | See footnote |
| Common Stock | 500,000 | Indirect | See footnote |
| Common Stock | 18,920 | Indirect | See footnote |
Footnotes
- Represents the weighted average share price of an aggregate total of 17,306 shares sold in the price range of $16.71 to $17.16 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 16,677 shares sold in the price range of $17.01 to $17.375 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 8,563 shares sold in the price range of $15.49 to $15.97 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.
- Shares held by the Seendripu Family Trust dated 10/5/09, a trust for the benefit of the Reporting Person and the Reporting Person's spouse, for which the Reporting Person and the Reporting Person's spouse serve as trustees.
- Shares held by the Kishore V. Seendripu 2018 Annuity Trust dated May 12, 2018, a grantor retained annuity trust, for which the Reporting Person serves as trustee.
- Shares held by the Rekha S. Seendripu 2018 Annuity Trust dated May 12, 2018, a grantor retained annuity trust, for which the Reporting Person serves as trustee.
- Shares held by the Kishore V. Seendripu 2019 Annuity Trust dated May 6, 2019, a grantor retained annuity trust, for which the Reporting Person serves as trustee.
- Shares held by the Rekha S. Seendripu 2019 Annuity Trust dated May 6, 2019, a grantor retained annuity trust, for which the Reporting Person serves as trustee.
- Shares held by the Kishore V. Seendripu 2019-2 Annuity Trust dated November 9, 2019, a grantor retained annuity trust, for which the Reporting Person serves as trustee.
- Shares held by the Rekha S. Seendripu 2019-2 Annuity Trust dated November 9, 2019, a grantor retained annuity trust, for which the Reporting Person serves as trustee.
- Shares held by the Seendripu Relatives Trust dated 10/5/09, a trust for the benefit of the Reporting Person's parents and siblings, and for which the Reporting Person serves as trustee.
- 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 186,440 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.
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