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MAXLINEAR, INC — Director's Dealing 2018
May 24, 2018
31984_dirs_2018-05-23_e8bad71c-2a51-47a3-8d35-2f4e725450e0.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: 2018-05-21
Reporting Person: Kwong Connie H. (Corporate Controller & PAO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-05-21 | Common Stock | M | 816 | $0.00 | Acquired | 8180 | Direct |
| 2018-05-21 | Common Stock | F | 816 | $18.94 | Disposed | 7364 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-05-21 | Restricted Stock Units | $ | M | 239 | Disposed | Common Stock (239) | Direct | |
| 2018-05-21 | Restricted Stock Units | $ | M | 266 | Disposed | Common Stock (266) | Direct | |
| 2018-05-21 | Restricted Stock Units | $ | M | 212 | Disposed | Common Stock (212) | Direct | |
| 2018-05-21 | Restricted Stock Units | $ | M | 99 | Disposed | Common Stock (99) | Direct |
Footnotes
F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock.
F2: Includes 650 shares of Common Stock acquired under the Company's 2010 Employee Stock Purchase Plan on May 15, 2018.
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 9,000 RSUs subject to the award shall vest on May 20, 2016, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each August 20, November 20, February 20 and May 20 thereafter, such that the award will be fully vested on May 20, 2019.
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 10,000 RSUs subject to the award shall vest on February 20, 2016, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive May 20, August 20, November 20, and February 20 thereafter, such that the award will be fully vested on November 20, 2019.
F5: 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 8,000 RSUs subject to the award shall vest on May 20, 2017, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each August 20, November 20, February 20 and May 20 thereafter, such that the award will be fully vested on February 20, 2021.
F6: 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 3,739 RSUs subject to the award shall vest on May 20, 2017, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each August 20, November 20, February 20 and May 20 thereafter, such that the award will be fully vested on February 20, 2021.