SEC Form 4 · accession 0001209191-17-023751
MAXLINEAR, INC · MXL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ted L Tewksbury III
Director
Period of report
Mar 29, 2017
Accepted (ET)
Mar 30, 2017 · 7:53 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 | 30,454 | $0.00 | D | 0 | D | |
| Common Stock | Mar 29, 2017 | C | 30,454 | $0.00 | A | 30,454 | 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 UnitsF2,F4 | — | Mar 29, 2017 | J | 5,722 | D | — | — | Class A Common Stock | 5,722 | 0 | D |
| Restricted Stock UnitsF5,F4 | — | Mar 29, 2017 | J | 5,722 | A | — | — | Common Stock | 5,722 | 5,722 | D |
| Restricted Stock UnitsF2,F6 | — | Mar 29, 2017 | J | 6,217 | D | — | — | Class A Common Stock | 6,217 | 0 | D |
| Restricted Stock UnitsF5,F6 | — | Mar 29, 2017 | J | 6,217 | A | — | — | Common Stock | 6,217 | 6,217 | D |
| Stock Option (Right to Buy) | $7.57 | Mar 29, 2017 | J | 35,822 | D | May 8, 2015 | Nov 20, 2024 | Class A Common Stock | 35,822 | 0 | D |
| Stock Option (Right to Buy) | $7.57 | Mar 29, 2017 | J | 35,822 | A | May 8, 2015 | Nov 20, 2024 | Common Stock | 35,822 | 35,822 | D |
| Stock Option (Right to Buy) | $23.17 | Mar 29, 2017 | J | 18,296 | D | Apr 30, 2015 | Sep 7, 2020 | Class A Common Stock | 18,296 | 0 | D |
| Stock Option (Right to Buy) | $23.17 | Mar 29, 2017 | J | 18,296 | A | Apr 30, 2015 | Sep 7, 2020 | Common Stock | 18,296 | 18,296 | D |
| Stock Option (Right to Buy) | $23.97 | Mar 29, 2017 | J | 3,582 | D | Apr 30, 2015 | May 19, 2021 | Class A Common Stock | 3,582 | 0 | D |
| Stock Option (Right to Buy) | $23.97 | Mar 29, 2017 | J | 3,582 | A | Apr 30, 2015 | May 19, 2021 | Common Stock | 3,582 | 3,582 | D |
| Stock Option (Right to Buy) | $11.09 | Mar 29, 2017 | J | 3,582 | D | Apr 30, 2015 | May 15, 2022 | Class A Common Stock | 3,582 | 0 | D |
| Stock Option (Right to Buy) | $11.09 | Mar 29, 2017 | J | 3,582 | A | Apr 30, 2015 | May 15, 2022 | Common Stock | 3,582 | 3,582 | D |
| Stock Option (Right to Buy) | $11.76 | Mar 29, 2017 | J | 3,582 | D | Apr 30, 2015 | May 14, 2023 | Class A Common Stock | 3,582 | 0 | D |
| Stock Option (Right to Buy) | $11.76 | Mar 29, 2017 | J | 3,582 | A | Apr 30, 2015 | May 14, 2023 | Common Stock | 3,582 | 3,582 | D |
| Stock Option (Right to Buy) | $8.74 | Mar 29, 2017 | J | 3,582 | D | Apr 30, 2015 | May 14, 2024 | Class A Common Stock | 3,582 | 0 | D |
| Stock Option (Right to Buy) | $8.74 | Mar 29, 2017 | J | 3,582 | A | Apr 30, 2015 | May 14, 2024 | Common Stock | 3,582 | 3,582 | 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.
- 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.
- F4The RSU became fully vested on May 8, 2015.
- F5Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.
- F6Subject 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.
- F7In 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 remain unchanged, except that they now represent a right to receive one share of the Issuer's Common Stock.