SEC Form 4 · accession 0001209191-17-023748

MAXLINEAR, INC · MXL

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Albert J Moyer

Director

Period of report

Mar 29, 2017

Accepted (ET)

Mar 30, 2017 · 7:49 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	Mar 29, 2017	C	54,708	$0.00	D	0	D
Common Stock	Mar 29, 2017	C	54,708	$0.00	A	54,708	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F2,F4	—	Mar 29, 2017	J	6,217	D	—	—	Class A Common Stock	6,217	0	D
Restricted Stock Units^F5,F4	—	Mar 29, 2017	J	6,217	A	—	—	Common Stock	6,217	6,217	D
Stock Option (Right to Buy)^F7,F8	$6.5497	Mar 29, 2017	J	34,575	D	—	Oct 15, 2019	Class B Common Stock	34,575	0	D
Stock Option (Right to Buy)^F7,F8	$6.5497	Mar 29, 2017	J	34,575	A	—	Oct 15, 2019	Common Stock	34,575	34,575	D
Stock Option (Right to Buy)^F9	$14.00	Mar 29, 2017	J	10,857	D	—	Mar 23, 2020	Class A Common Stock	10,857	0	D
Stock Option (Right to Buy)^F9	$14.00	Mar 29, 2017	J	10,857	A	—	Mar 23, 2020	Common Stock	10,857	10,857	D
Stock Option (Right to Buy)^F10	$9.10	Mar 29, 2017	J	21,149	D	—	May 6, 2018	Class A Common Stock	21,149	0	D
Stock Option (Right to Buy)^F10	$9.10	Mar 29, 2017	J	21,149	A	—	May 6, 2018	Common Stock	21,149	21,149	D

Explanation of responses

F1On March 29, 2017, each share of the Issuer's outstanding Class A Common Stock and Class B Common Stock automatically converted into one share of outstanding Common Stock pursuant to the Issuer's Amended and Restated Certificate of Incorporation.
F10Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such applicable vesting date, one hundred percent (100%) of the shares subject to the option vested and became exercisable on the day prior to the 2012 annual meeting of stockholders.
F2Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock.
F3In connection with the conversion described in footnote (1), outstanding RSUs denominated by Class A Common Stock issued under the Issuer's 2010 Equity Incentive Plan remain unchanged, except that they now represent a contingent right to receive one share of the Issuer's Common Stock.
F4Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2017 or the date immediately preceding the 2017 annual meeting of stockholders.
F5Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.
F6In connection with the conversion described in footnote (1), outstanding options denominated by Class A Common Stock issued under the Issuer's 2010 Equity Incentive Plan or denominated by Class B Common Stock issued under the Issuer's 2004 Stock Plan remain unchanged, except that they now represent a right to receive one share of the Issuer's Common Stock.
F7Subject to the Reporting Person's continuing to be a Service Provider (as defined in the 2004 Stock Plan) through each applicable vesting date, twenty five percent (25%) of the shares subject to the option vested and became exercisable on October 16, 2010, and 2.08% of the shares vested and became exercisable at the end of each monthly period thereafter.
F8An incorrect expiration date of October 16, 2019 was reported in the Form 4 filed on March 30, 2010. The correct expiration date is October 15, 2019.
F9Subject to the Reporting Person's continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) through such applicable vesting date, one hundred percent (100%) of the shares subject to the option vested and became exercisable on March 23, 2011.