SEC Form 4 · accession 0001209191-18-030924
MAXWELL TECHNOLOGIES INC · MXWL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Burkhard Goeschel
Director
Period of report
May 15, 2018
Accepted (ET)
May 17, 2018 · 4:31 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,F4 | $0.00 | May 15, 2018 | A | 19,785 | A | — | — | Common Stock | 19,785 | 19,785 | D |
| Stock Option (Right to Buy)F5 | $5.37 | May 15, 2018 | A | 5,000 | A | — | May 15, 2028 | 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.
- F2This RSU grant represents the holder's annual non-employee director award, including an additional prorated amount to account for a change in the grant date of such annual award to be made in connection with the Company's annual meeting date.
- F3The RSUs vest in full on the earlier of: (1) May 20, 2019, or (2) the Company's 2019 annual meeting date; as long as the holder remains in service to the Company.
- F4These units do not expire.
- F5Option becomes exercisable on the earlier of: (1) May 20, 2019 or (2) the Company's 2019 annual meeting date; as long as holder remains in service to the Company.