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MAXLINEAR, INC — Director's Dealing 2010
Mar 29, 2010
31984_dirs_2010-03-29_add6fb3d-bd0e-4088-abc5-6f8fcada6e49.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: MAXLINEAR INC (MXL)
CIK: 0001288469
Period of Report: 2010-03-29
Reporting Person: PRESIDIO MANAGEMENT GROUP VIII L L C (10% Owner)
Reporting Person: ROOT JONATHAN D (10% Owner)
Reporting Person: Rust Christopher J (10% Owner)
Reporting Person: Tansey Casey M (10% Owner)
Reporting Person: YOUNG PHILIP M (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2010-03-29 | Common Stock ($0.0001 par value) | J | 5309952 | — | Disposed | 0 | Indirect |
| 2010-03-29 | Common Stock ($0.0001 par value) | J | 51253 | — | Disposed | 0 | Indirect |
| 2010-03-29 | Common Stock ($0.0001 par value) | J | 49076 | — | Disposed | 0 | Indirect |
| 2010-03-29 | Common Stock ($0.0001 par value) | J | 24877 | — | Disposed | 0 | Indirect |
| 2010-03-29 | Class A Common Stock ($0.0001 par value) | C | 555107 | — | Acquired | 555107 | Indirect |
| 2010-03-29 | Class A Common Stock ($0.0001 par value) | C | 5358 | — | Acquired | 5358 | Indirect |
| 2010-03-29 | Class A Common Stock ($0.0001 par value) | C | 5130 | — | Acquired | 5130 | Indirect |
| 2010-03-29 | Class A Common Stock ($0.0001 par value) | C | 2600 | — | Acquired | 2600 | Indirect |
| 2010-03-29 | Class A Common Stock ($0.0001 par value) | S | 555107 | $14.00 | Disposed | 0 | Indirect |
| 2010-03-29 | Class A Common Stock ($0.0001 par value) | S | 5358 | $14.00 | Disposed | 0 | Indirect |
| 2010-03-29 | Class A Common Stock ($0.0001 par value) | S | 5130 | $14.00 | Disposed | 0 | Indirect |
| 2010-03-29 | Class A Common Stock ($0.0001 par value) | S | 2600 | $14.00 | Disposed | 0 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2010-03-29 | Class B Common Stock (convertible into Class A Common Stock) | $ | J | 5309952 | Acquired | Class A Common Stock ($0.0001 par value) (5309952) | Indirect | |
| 2010-03-29 | Class B Common Stock (convertible into Class A Common Stock) | $ | J | 51253 | Acquired | Class A Common Stock ($0.0001 par value) (51253) | Indirect | |
| 2010-03-29 | Class B Common Stock (convertible into Class A Common Stock) | $ | J | 49076 | Acquired | Class A Common Stock ($0.0001 par value) (49076) | Indirect | |
| 2010-03-29 | Class B Common Stock (convertible into Class A Common Stock) | $ | J | 24877 | Acquired | Class A Common Stock ($0.0001 par value) (24877) | Indirect | |
| 2010-03-29 | Class B Common Stock (convertible into Class A Common Stock) | $ | C | 555107 | Disposed | Class A Common Stock ($0.0001 par value) (555107) | Indirect | |
| 2010-03-29 | Class B Common Stock (convertible into Class A Common Stock) | $ | C | 5358 | Disposed | Class A Common Stock ($0.0001 par value) (5358) | Indirect | |
| 2010-03-29 | Class B Common Stock (convertible into Class A Common Stock) | $ | C | 5130 | Disposed | Class A Common Stock ($0.0001 par value) (5130) | Indirect | |
| 2010-03-29 | Class B Common Stock (convertible into Class A Common Stock) | $ | C | 2600 | Disposed | Class A Common Stock ($0.0001 par value) (2600) | Indirect |
Footnotes
F1: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock ($0.0001 par value) automatically converted into one share of Class B Common Stock ($0.0001 par value) immediately prior to the closing of the Registrant's initial public offering on March 29, 2010.
F2: Each share of Class B Common Stock is convertible into one share of Class A Common Stock, which is the Registrant's publicly traded stock registered under Section 12(b) of the Securities and Exchange Act of 1934, as amended, upon certain transfers and at the option of the holder. On the seventh anniversary of the closing of the Registrant's initial public offering (March 29, 2017), the Class B Common Stock and the Class A Common Stock will automatically convert into a single class of Common Stock
F3: See additional Form 4 filed by Presidio Management Group VIII, LLC ("PMG VIII") for additional members of this joint filing. PMG VIII is the general partner of US Venture Partners VIII, L.P. ("USVP VIII"), USVP Entrepreneur Partners VIII-A, L.P. ("EP VIII-A"), USVP Entrepreneur Partners VIII-B, L.P. ("EP VIII-B"), and USVP VIII Affiliates Fund, L.P. ("AFF VIII"), and Timothy Connors, Irwin Federman, Winston S. Fu, Steven M. Krausz, David E. Liddle, Jonathan D. Root, Christopher Rust, Casey M. Tansey, and Philip M. Young, the managing members of PMG VIII, may be deemed to share voting and dispositive power over the shares held by USVP VIII, EP VIII-A, EP VIII-B and AFF VIII. Such persons and entities disclaim beneficial ownership of shares held by USVP VIII, EP VIII-A, EP VIII-B and AFF VIII except to the extent of any pecuniary interest therein.
F4: Each share of Class A Common Stock, which is the publicly traded stock, was issued upon conversion of one share of Class B Common Stock at the election of the Reporting Persons.