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MAXLINEAR, INC — Director's Dealing 2015
Nov 23, 2015
31984_dirs_2015-11-23_8232d335-c132-4c77-9fe4-ea35865ba7e7.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: 2015-11-20
Reporting Person: Spice Adam C. (VP, Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-11-20 | Class A Common Stock (par value $0.0001) | M | 3390 | $0.00 | Acquired | 247684 | Direct |
| 2015-11-20 | Class A Common Stock (par value $0.0001) | F | 3390 | $16.59 | Disposed | 244294 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-11-20 | Restricted Stock Units | $ | M | 1108 | Disposed | 2018-05-20 | Class A Common Stock (par value $0.0001) (1108) | Direct |
| 2015-11-20 | Restricted Stock Units | $ | M | 2282 | Disposed | 2019-05-20 | Class A Common Stock (par value $0.0001) (2282) | Direct |
Footnotes
F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Class A Common Stock.
F2: Includes 854 shares of Class A Common Stock acquired under the Company's 2010 Employee Stock Purchase Plan on November 16, 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, one-sixteenth (1/16th) of the 33,979 RSUs subject to the award shall vest on August 20, 2014, and an additional one-sixteenth of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2018.
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, one-sixteenth (1/16th) of the 70,000 RSUs subject to the award shall vest on August 20, 2015, and an additional one-sixteenth of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2019.