SEC Form 4 · accession 0001209191-15-014835
MAXWELL TECHNOLOGIES INC · MXWL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jose Cortes
Director
Period of report
Feb 17, 2015
Accepted (ET)
Feb 17, 2015 · 7:19 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000319815
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 17, 2015 | M | 9,413 | — | A | 50,335 | D | |
| Common StockF2 | holding | — | — | — | 726,419 | I | By Montena S.A. | |
| Common Stock | holding | — | — | — | 5,000 | I | By Mother-in-Law |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F3,F4,F5 | — | Feb 17, 2015 | M | 9,413 | D | — | — | Common Stock | 9,413 | 0 | D |
Explanation of responses
- F1These units do not carry a conversion price.
- F2Mr. Cortes is a principal in Montena, SA. Mr. Cortes may be deemed to exercise voting and investment power over such shares. Mr. Cortes disclaims beneficial ownership of such shares, except to his proportionate interest therein.
- F3Each Restricted Stock Unit (RSU) represents a right to receive one share of the Issuer's common stock.
- F4The RSUs vest in full one year from the grant date as long as the holder remains in service to the Company.
- F5These units do not expire.