SEC Form 3 · accession 0001209191-19-003772
MAXWELL TECHNOLOGIES INC · MXWL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Emily Lough
Officer — VP, General Counsel&Secretary
Period of report
Jan 11, 2019
Accepted (ET)
Jan 15, 2019 · 5:53 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 Stock | holding | — | — | — | 11,674 | 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,F4,F2,F3 | $0.00 | holding | — | — | — | — | — | Common Stock | 11,250 | — | D |
| Market Stock UnitsF5,F4,F6,F3 | $0.00 | holding | — | — | — | — | — | Common Stock | 22,500 | — | D |
| Restricted Stock UnitsF1,F4,F7,F3 | $0.00 | holding | — | — | — | — | — | Common Stock | 9,375 | — | D |
| Market Stock UnitsF5,F4,F8,F3 | $0.00 | holding | — | — | — | — | — | Common Stock | 24,376 | — | D |
| Restricted Stock UnitsF1,F4,F9,F3 | $0.00 | holding | — | — | — | — | — | Common Stock | 5,778 | — | D |
| Market Stock UnitsF5,F4,F10,F3 | $0.00 | holding | — | — | — | — | — | Common Stock | 22,865 | — | D |
| Restricted Stock UnitsF1,F4,F11,F3 | $0.00 | holding | — | — | — | — | — | Common Stock | 500 | — | D |
| Stock Options (Right to Buy)F12 | $15.71 | holding | — | — | — | — | Feb 10, 2020 | Common Stock | 3,000 | — | D |
| Stock Options (Right to Buy)F13 | $6.70 | holding | — | — | — | — | Feb 24, 2019 | Common Stock | 1,750 | — | D |
Explanation of responses
- F1Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock.
- F10This award represents market stock units with vesting based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years following the grant date of January 15, 2016. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. The amount included in the table above represents the maximum number of shares that could vest under the grant.
- F11Award vests in annual installments over 4 years following the grant date of March 13, 2015 as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date.
- F12Option becomes exercisable in annual installments over 4 years following the grant date of February 10, 2010 as long as holder remains in service to the Company.
- F13Option becomes exercisable in annual installments over 4 years following the grant date of February 24, 2009 as long as holder remains in service to the Company.
- F2Award vests in annual installments over 4 years following the grant date of February 23, 2018 as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date.
- F3These units do not expire.
- F4These units were received as a grant or award for no consideration.
- F5Each market stock unit represents a right to receive one share of the Issuer's common stock.
- F6This award represents market stock units with vesting based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years following the grant date of February 23, 2018. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. The amount included in the table above represents the maximum number of shares that could vest under the grant.
- F7Award vests in annual installments over 4 years following the grant date of March 2, 2017 as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date.
- F8This award represents market stock units with vesting based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years following the grant date of March 2, 2017. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. The amount included in the table above represents the maximum number of shares that could vest under the grant.
- F9Award vests in annual installments over 4 years following the grant date of January 15, 2016 as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date.