Filing Details
- Accession Number:
- 0001288469-21-000140
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-05-24 19:17:17
- Reporting Period:
- 2021-05-20
- Accepted Time:
- 2021-05-24 19:17:17
- 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 | 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 | 2021-05-20 | 5,142 | $0.00 | 1,005,822 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-05-20 | 5,142 | $35.80 | 1,000,680 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2021-05-21 | 9,502 | $36.10 | 991,178 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-05-21 | 14,152 | $9.23 | 1,005,330 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2021-05-20 | 1,251 | $0.00 | 1,251 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2021-05-20 | 2,511 | $0.00 | 2,511 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2021-05-20 | 1,380 | $0.00 | 1,380 | $0.00 |
| Common Stock | Stock Option (right to buy) | Disposition | 2021-05-21 | 14,152 | $0.00 | 14,152 | $9.23 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 10,103 | No | 4 | M | Direct | ||
| 17,729 | No | 4 | M | Direct | ||
| 25,065 | No | 4 | M | Direct | ||
| 0 | 2021-06-02 | No | 4 | M | Direct |
Footnotes
- Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock.
- Includes 613 shares of Common Stock acquired under the Company's 2010 Employee Stock Purchase Plan on May 17, 2021.
- Subject to the Reporting Person 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 40,409 RSUs subject to the award will vest on August 20, 2018, and an additional one-sixteenth (1/16th) of the RSUs subject to the award will vest on each November 20, February 20, May 20, and August 20 thereafter, such that the award will be fully vested on May 20, 2022.
- 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, ten percent (10%) of the 25,326 RSUs subject to the award will vest on May 20, 2020; twenty percent (20%) of the RSUs subject to the award will vest on May 20, 2021; thirty percent (30%) of the RSUs subject to the award will vest on May 20, 2022; forty percent (40%) of the RSUs subject to the award will vest on May 20, 2023, such that the award will be fully vested on May 20, 2023.
- Subject to the Reporting Person continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) through each applicable vesting date, ten percent (10%) of the 27,849 RSUs subject to the award will vest on May 20, 2021; twenty percent (20%) of the RSUs subject to the award will vest on May 20, 2022; thirty percent (30%) of the RSUs subject to the award will vest on May 20, 2023; and forty percent (40%) of the RSUs subject to the award will vest on May 20, 2024, such that all the RSUs subject to the award will then be fully vested.
- 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 33,402 shares subject to the option vested and became exercisable on August 20, 2014, and an additional one-sixteenth (1/16th) of the shares subject to the option will vest and become exercisable on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award will be fully vested and exercisable on May 20, 2018.
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