SEC Form 4 · accession 0001209191-17-061840
MAXWELL TECHNOLOGIES INC · MXWL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rick Bergman
Director
Period of report
Nov 20, 2017
Accepted (ET)
Nov 20, 2017 · 5:41 pm EST
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 | — | Nov 20, 2017 | A | 2,882 | A | — | — | Common Stock | 2,882 | 2,882 | D |
Explanation of responses
- F1Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock.
- F2These RSUs are fully vested upon grant and have been awarded in lieu of cash consideration for non-employee director fees of $16,802, per the reporting person's election. Shares will be delivered to the reporting person on the earlier of February 20, 2020, termination of the reporting person's service to the Company, the reporting person's death or a change in control of the Company.
- F3These units do not expire.