Filing Details
- Accession Number:
- 0001181431-14-029912
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-08-21 19:29:20
- Reporting Period:
- 2014-08-20
- Filing Date:
- 2014-08-21
- Accepted Time:
- 2014-08-21 19:29:20
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1288469 | Maxlinear Inc | MXL | Semiconductors & Related Devices (3674) | 141896129 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1478343 | Madhukar Reddy | 5966 La Place Court Suite 100 Carlsbad CA 92008 | Vp, Central Engineering | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock (Par Value $0.0001) | Acquisiton | 2014-08-20 | 1,700 | $0.23 | 90,351 | No | 4 | M | Direct | |
| Class A Common Stock (Par Value $0.0001) | Disposition | 2014-08-20 | 1,700 | $9.80 | 88,651 | No | 4 | S | Direct | |
| Class A Common Stock (Par Value $0.0001) | Acquisiton | 2014-08-20 | 1,447 | $0.00 | 92,504 | No | 4 | M | Direct | |
| Class A Common Stock (Par Value $0.0001) | Disposition | 2014-08-20 | 1,447 | $9.83 | 91,057 | No | 4 | F | Direct | |
| Class A Common Stock (Par Value $0.0001) | Acquisiton | 2014-08-21 | 1,700 | $0.23 | 92,757 | No | 4 | M | Direct | |
| Class A Common Stock (Par Value $0.0001) | Disposition | 2014-08-21 | 1,700 | $9.74 | 91,057 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class B Common Stock (Par Value $0.0001) | Employee Stock Option (right to buy) | Disposition | 2014-08-20 | 1,700 | $0.00 | 1,700 | $0.23 |
| Class A Common Stock (Par Value $0.0001) | Restricted Stock Units | Disposition | 2014-08-20 | 783 | $0.00 | 783 | $0.00 |
| Class A Common Stock (Par Value $0.0001) | Restricted Stock Units | Disposition | 2014-08-20 | 664 | $0.00 | 664 | $0.00 |
| Class B Common Stock (Par Value $0.0001) | Employee Stock Option (right to buy) | Disposition | 2014-08-21 | 1,700 | $0.00 | 1,700 | $0.23 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 21,126 | 2015-10-28 | No | 4 | M | Direct | |
| 8,333 | 2015-08-20 | No | 4 | M | Direct | |
| 26,547 | 2018-05-20 | No | 4 | M | Direct | |
| 19,426 | 2015-10-28 | No | 4 | M | Direct |
Footnotes
- Reflects shares of Class B Common Stock converted into an equivalent number of shares of Class A Common Stock.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 28, 2014.
- Represents the weighted average share price of an aggregate total of 1,700 shares sold in the price range of $9.735 to $9.84 by the Reporting Person. The Reporting Person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- Each restricted stock unit ("RSU") represents the contingent right to receive one share of MaxLinear, Inc. Class A Common Stock.
- Shares subject to the option are fully vested and immediately exercisable.
- Each share of Class B Common Stock is convertible into one share of Class A Common Stock upon certain transfers and at the option of the Reporting Person. On the seventh anniversary of the closing of the Registrant's initial public offering (March 29, 2017), the Class B Common Stock and the Class A Common Stock will automatically convert into a single class of Common Stock.
- 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 twelfth (1/12th) of the 25,000 RSUs subject to the award shall vest on November 20, 2012, and one twelfth (1/12th) of the 25,000 RSUs subject to the award shall vest on each February 20, May 20, August 20 and November 20 thereafter, such that the award shall be fully vested on August 20, 2015.
- 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 28,136 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.
- Represents the weighted average share price of an aggregate total of 1,700 shares sold in the price range of $9.695 to $9.77 by the Reporting Person. The Reporting Person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
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