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MAXLINEAR, INC — Director's Dealing 2011
May 3, 2011
31984_dirs_2011-05-03_43b5a18f-28eb-4f69-8be9-df57d5acabc4.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: 2011-05-02
Reporting Person: IMURA KIMIHIKO (VP, Semiconductor Tech & Ops)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | C | 7500 | — | Acquired | 7500 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 153 | $9.08 | Disposed | 7347 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 100 | $9.095 | Disposed | 7247 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 100 | $9.10 | Disposed | 7147 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 200 | $9.11 | Disposed | 6947 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 100 | $9.15 | Disposed | 6847 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 200 | $9.18 | Disposed | 6647 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 200 | $9.23 | Disposed | 6447 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 400 | $9.25 | Disposed | 6047 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 400 | $9.255 | Disposed | 5647 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 600 | $9.26 | Disposed | 5047 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 600 | $9.265 | Disposed | 4447 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 600 | $9.27 | Disposed | 3847 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 100 | $9.275 | Disposed | 3747 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 501 | $9.28 | Disposed | 3246 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 270 | $9.29 | Disposed | 2976 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 100 | $9.2975 | Disposed | 2876 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 354 | $9.30 | Disposed | 2522 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 246 | $9.31 | Disposed | 2276 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 200 | $9.32 | Disposed | 2076 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 404 | $9.33 | Disposed | 1672 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 200 | $9.35 | Disposed | 1472 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 800 | $9.36 | Disposed | 672 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 100 | $9.37 | Disposed | 572 | Direct |
| 2011-05-02 | Class A Common Stock ($0.0001 par value) | S | 200 | $9.38 | Disposed | 372 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-05-02 | Class B Common Stock (convertible into Class A Common Stock) | $ | C | 7500 | Disposed | Class A Common Stock ($0.0001 par value) (7500) | Direct | |
| 2011-05-02 | Class B Common Stock (convertible into Class A Common Stock) | $ | C | 2500 | Disposed | Class A Common Stock ($0.0001 par value) (2500) | Indirect | |
| 2011-05-02 | Class B Common Stock (convertible into Class A Common Stock) | $ | C | 2500 | Disposed | Class A Common Stock ($0.0001 par value) (2500) | Indirect |
Footnotes
F1: Reflects shares of Class B common stock converted into an equivalent number of shares of Class A common stock pursuant to a power of attorney granted by the reporting person on June 7, 2010 in connection with the adoption of a Rule 10b5-1 trading plan.
F2: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 7, 2010.
F3: Shares held directly by KI Trust, a grantor retained annuity trust, for which the Reporting Person serves as trustee.
F4: Shares held directly by YI Trust, a grantor retained annuity trust, for which the Reporting Person's spouse serves as trustee.
F5: Each share of Class B Common Stock is convertible into one share of Class A Common Stock, which is the publicly traded stock, 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.