Filing Details
- Accession Number:
- 0001181431-11-026814
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-05-03 17:59:01
- Reporting Period:
- 2011-05-02
- Filing Date:
- 2011-05-03
- Accepted Time:
- 2011-05-03 17:59:01
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1288469 | Maxlinear Inc | MXL | Semiconductors & Related Devices (3674) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1478344 | Kimihiko Imura | 2051 Palomar Airport Road Suite 100 Carlsbad CA 92011 | Vp, Semiconductor Tech & Ops | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock ($0.0001 Par Value) | Acquisiton | 2011-05-02 | 7,500 | $0.00 | 7,500 | No | 4 | C | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 153 | $9.08 | 7,347 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 100 | $9.10 | 7,247 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 100 | $9.10 | 7,147 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 200 | $9.11 | 6,947 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 100 | $9.15 | 6,847 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 200 | $9.18 | 6,647 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 200 | $9.23 | 6,447 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 400 | $9.25 | 6,047 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 400 | $9.26 | 5,647 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 600 | $9.26 | 5,047 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 600 | $9.27 | 4,447 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 600 | $9.27 | 3,847 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 100 | $9.28 | 3,747 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 501 | $9.28 | 3,246 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 270 | $9.29 | 2,976 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 100 | $9.30 | 2,876 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 354 | $9.30 | 2,522 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 246 | $9.31 | 2,276 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 200 | $9.32 | 2,076 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 404 | $9.33 | 1,672 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 200 | $9.35 | 1,472 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 800 | $9.36 | 672 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 100 | $9.37 | 572 | No | 4 | S | Direct | |
| Class A Common Stock ($0.0001 Par Value) | Disposition | 2011-05-02 | 200 | $9.38 | 372 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
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Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock ($0.0001 Par Value) | Class B Common Stock (convertible into Class A Common Stock) | Disposition | 2011-05-02 | 7,500 | $0.00 | 7,500 | $0.00 |
| Class A Common Stock ($0.0001 Par Value) | Class B Common Stock (convertible into Class A Common Stock) | Disposition | 2011-05-02 | 2,500 | $0.00 | 2,500 | $0.00 |
| Class A Common Stock ($0.0001 Par Value) | Class B Common Stock (convertible into Class A Common Stock) | Disposition | 2011-05-02 | 2,500 | $0.00 | 2,500 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 23,999 | No | 4 | C | Direct | ||
| 84,541 | No | 4 | C | Indirect | ||
| 84,541 | No | 4 | C | Indirect |
Footnotes
- 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 June 7, 2010 in connection with the adoption of a Rule 10b5-1 trading plan.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 7, 2010.
- Shares held directly by KI Trust, a grantor retained annuity trust, for which the Reporting Person serves as trustee.
- Shares held directly by YI Trust, a grantor retained annuity trust, for which the Reporting Person's spouse serves as trustee.
- 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.
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