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Ownership Summary Table
|Name||Sole Voting Power||Shared Voting Power||Sole Dispositive Power||Shared Dispositive Power||Aggregate Amount Owned Power||Percent of Class|
|VIEX Opportunities Fund||1,032,522||1,032,522||2.81%|
|VIEX Special Opportunities Fund II||801,868||801,868||0%|
|VIEX Special Opportunities Fund III||1,032,522||1,032,522||2.19%|
|VIEX Special Opportunities GP II||1,834,390||1,834,390||0%|
|VIEX Special Opportunities GP III||1,834,390||1,834,390||2.19%|
|VIEX Capital Advisors||4.99%|
Page 1 of 16 – SEC Filing
SECURITIES AND EXCHANGE
Washington, D.C. 20549
INFORMATION TO BE INCLUDED
IN STATEMENTS FILED PURSUANT
TO § 240.13d-1(a)
AND AMENDMENTS THERETO FILED PURSUANT TO
(Amendment No. 2)1
Maxwell Technologies, Inc.
Common Stock, $0.10 par value per share
(Title of Class of Securities)
Capital Advisors, LLC
825 Third Avenue, 33rd Floor
New York, New York 10022
STEVE WOLOSKY, ESQ.
FROME WOLOSKY LLP
1325 Avenue of the Americas
New York, New York 10019
(Name, Address and Telephone Number of Person
Authorized to Receive Notices
May 11, 2017
(Date of Event Which Requires
Filing of This Statement)
the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule
13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following
filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See
§ 240.13d-7 for other parties to whom copies are to be sent.
The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to
the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided
in a prior cover page.
The information required
on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities
Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject
to all other provisions of the Act (however, see the Notes).