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MAXLINEAR, INC — Director's Dealing 2014
May 21, 2014
31984_dirs_2014-05-21_0d717a69-73db-4c04-b518-90c632bde8ff.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: 2014-05-20
Reporting Person: SEENDRIPU KISHORE (Director, President and CEO, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-05-20 | Class A Common Stock (par value $0.0001) | M | 20391 | $0.00 | Acquired | 146224 | Direct |
| 2014-05-20 | Class A Common Stock (par value $0.0001) | F | 20391 | $8.32 | Disposed | 125833 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-05-20 | Restricted Stock Units | $ | M | 2819 | Disposed | 2015-05-20 | Class A Common Stock (par value $0.0001) (2819) | Direct |
| 2014-05-20 | Restricted Stock Units | $ | M | 9395 | Disposed | 2016-05-20 | Class A Common Stock (par value $0.0001) (9395) | Direct |
| 2014-05-20 | Restricted Stock Units | $ | M | 8177 | Disposed | 2017-05-20 | Class A Common Stock (par value $0.0001) (8177) | Direct |
Footnotes
F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Class A Common Stock.
F2: Subject to the Reporting Person's continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) through each applicable vesting date, twenty five percent (25%) of the 30,000 RSUs subject to the award shall vest on May 20, 2012, and twenty five percent (25%) of the 30,000 RSUs subject to the award vest on each successive anniversary thereafter, such that the award shall be fully vested on May 20, 2015.
F3: Subject to the Reporting Person's continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) through each applicable vesting date, twenty five percent (25%) of the 100,000 RSUs subject to the award shall vest on May 20, 2013, and an additional twenty five percent (25%) of the 100,000 RSUs subject to the award shall vest on each successive anniversary thereafter, such that the award shall be fully vested on May 20, 2016.
F4: Subject to the Reporting Person's continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) through each applicable vesting date, twenty five (25%) of the 87,025 RSUs subject to the award shall vest on May 20, 2014, and an additional twenty five percent (25%) shall vest on each successive anniversary thereafter, such that the award shall be fully vested on May 20, 2017.