SEC Form 4 · accession 0001209191-15-078537
MAXWELL TECHNOLOGIES INC · MXWL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher Humphrey
Officer — VP of Marketing and Bus. Dev.
Period of report
Nov 2, 2015
Accepted (ET)
Nov 4, 2015 · 6:58 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 | Nov 2, 2015 | M | 3,750 | $0.00 | A | 5,180 | D | |
| Common StockF2 | Nov 2, 2015 | S | 1,396 | $6.1402 | D | 3,784 | 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 UnitsF1,F3,F4 | $0.00 | Nov 2, 2015 | M | 3,750 | D | — | — | Common Stock | 3,750 | 7,500 | D |
Explanation of responses
- F1These units do not carry a conversion price.
- F2These shares were sold in the open market in order to meet the tax withholding obligations of the award holder in connection with the vesting of the holder's restricted stock award.
- F3Award vests in in annual installments over 4 years as long as holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date.
- F4These units do not expire.