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MAXLINEAR, INC — Director's Dealing 2017
Mar 31, 2017
31984_dirs_2017-03-30_c65027b8-89fd-4b38-a6ce-5949e924f553.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: 2017-03-29
Reporting Person: Tewksbury Ted L III (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-03-29 | Class A Common Stock | C | 30454 | $0.00 | Disposed | 0 | Direct |
| 2017-03-29 | Common Stock | C | 30454 | $0.00 | Acquired | 30454 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-03-29 | Restricted Stock Units | $ | J | 5722 | Disposed | Class A Common Stock (5722) | Direct | |
| 2017-03-29 | Restricted Stock Units | $ | J | 5722 | Acquired | Common Stock (5722) | Direct | |
| 2017-03-29 | Restricted Stock Units | $ | J | 6217 | Disposed | Class A Common Stock (6217) | Direct | |
| 2017-03-29 | Restricted Stock Units | $ | J | 6217 | Acquired | Common Stock (6217) | Direct | |
| 2017-03-29 | Stock Option (Right to Buy) | $7.57 | J | 35822 | Disposed | 2024-11-20 | Class A Common Stock (35822) | Direct |
| 2017-03-29 | Stock Option (Right to Buy) | $7.57 | J | 35822 | Acquired | 2024-11-20 | Common Stock (35822) | Direct |
| 2017-03-29 | Stock Option (Right to Buy) | $23.17 | J | 18296 | Disposed | 2020-09-07 | Class A Common Stock (18296) | Direct |
| 2017-03-29 | Stock Option (Right to Buy) | $23.17 | J | 18296 | Acquired | 2020-09-07 | Common Stock (18296) | Direct |
| 2017-03-29 | Stock Option (Right to Buy) | $23.97 | J | 3582 | Disposed | 2021-05-19 | Class A Common Stock (3582) | Direct |
| 2017-03-29 | Stock Option (Right to Buy) | $23.97 | J | 3582 | Acquired | 2021-05-19 | Common Stock (3582) | Direct |
| 2017-03-29 | Stock Option (Right to Buy) | $11.09 | J | 3582 | Disposed | 2022-05-15 | Class A Common Stock (3582) | Direct |
| 2017-03-29 | Stock Option (Right to Buy) | $11.09 | J | 3582 | Acquired | 2022-05-15 | Common Stock (3582) | Direct |
| 2017-03-29 | Stock Option (Right to Buy) | $11.76 | J | 3582 | Disposed | 2023-05-14 | Class A Common Stock (3582) | Direct |
| 2017-03-29 | Stock Option (Right to Buy) | $11.76 | J | 3582 | Acquired | 2023-05-14 | Common Stock (3582) | Direct |
| 2017-03-29 | Stock Option (Right to Buy) | $8.74 | J | 3582 | Disposed | 2024-05-14 | Class A Common Stock (3582) | Direct |
| 2017-03-29 | Stock Option (Right to Buy) | $8.74 | J | 3582 | Acquired | 2024-05-14 | Common Stock (3582) | Direct |
Footnotes
F1: On March 29, 2017, each share of the Issuer's outstanding Class A Common Stock and Class B Common Stock automatically converted into one share of outstanding Common Stock pursuant to the Issuer's Amended and Restated Certificate of Incorporation.
F2: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock.
F3: In connection with the conversion described in footnote (1), outstanding RSUs denominated by Class A Common Stock issued under the Issuer's 2010 Equity Incentive Plan remain unchanged, except that they now represent a contingent right to receive one share of the Issuer's Common Stock.
F4: The RSU became fully vested on May 8, 2015.
F5: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.
F6: Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2017 or the date immediately preceding the 2017 annual meeting of stockholders.
F7: In connection with the conversion described in footnote (1), outstanding options denominated by Class A Common Stock issued under the Issuer's 2010 Equity Incentive Plan remain unchanged, except that they now represent a right to receive one share of the Issuer's Common Stock.