SEC Form 4 · accession 0001209191-16-113907
MAXLINEAR, INC · MXL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Curtis Ling
Officer — Chief Technical Officer · Director
Period of report
Apr 8, 2016
Accepted (ET)
Apr 11, 2016 · 7:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001288469
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock (par value $0.0001) | Apr 8, 2016 | M | 1,200 | $6.93 | A | 123,164 | D | |
| Class A Common Stock (par value $0.0001) | Apr 8, 2016 | S | 1,100 | $19.00 | D | 122,064 | D | |
| Class A Common Stock (par value $0.0001) | Apr 8, 2016 | S | 100 | $19.03 | D | 121,964 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $6.93 | Apr 8, 2016 | M | 1,200 | D | — | May 14, 2020 | Class A Common Stock ($0.0001 par value) | 1,200 | 53,986 | D |
Explanation of responses
- F1The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on December 2, 2015.
- F2Subject 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 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.