SEC Form 4 · accession 0001209191-17-035158
MAXWELL TECHNOLOGIES INC · MXWL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Burkhard Goeschel
Director
Period of report
May 22, 2017
Accepted (ET)
May 24, 2017 · 8:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000319815
Table I — non-derivative securities
No Table I lines on this filing.
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,F2,F3 | $0.00 | May 22, 2017 | A | 15,370 | A | — | — | Common Stock | 15,370 | 15,370 | D |
| Stock Option (Right to Buy)F4 | $5.53 | May 22, 2017 | A | 5,000 | A | — | May 22, 2027 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock.
- F2The RSUs vest in full on May 20, 2018 as long as the holder remains in service to the Company.
- F3These units do not expire.
- F4Option becomes exercisable in one year as long as holder remains in service to the Company.