SEC Form 4 · accession 0001209191-18-032464
MAXWELL TECHNOLOGIES INC · MXWL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ilya Golubovich
Director
Period of report
May 20, 2018
Accepted (ET)
May 22, 2018 · 7:24 pm EDT
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,F2 | May 20, 2018 | M | 14,505 | $0.00 | A | 14,505 | D | |
| Common StockF3 | holding | — | — | — | 1,639,702 | I | Arbat Capital Group Limited | |
| Common StockF3 | holding | — | — | — | 1,390,204 | I | I2BF Energy Limited |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F4 | $0.00 | May 20, 2018 | M | 14,505 | D | May 20, 2018 | — | Common Stock | 14,505 | 0 | D |
Explanation of responses
- F1Vested 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.
- F2These units do not carry a conversion price.
- F3Ilya Golubovich is a director of I2BF Venture Partners Ltd., the sole shareholder of I2BF Energy, Ltd., and a director of Arbat Capital Group Limited and has voting and dispositive power with respect to these shares. Ilya Golubovich disclaims beneficial ownership except to the extent of his pecuniary interest therein.
- F4These units do not expire.