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Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2015-11-04 18:58:53
Reporting Period:
Filing Date:
Accepted Time:
2015-11-04 18:58:53
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
319815 Maxwell Technologies Inc MXWL Miscellaneous Electrical Machinery, Equipment & Supplies (3690) 952390133
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1272855 Christopher Humphrey 3888 Calle Fortunada
San Diego CA 92123
Vp Of Marketing And Bus. Dev. 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
Common Stock Acquisiton 2015-11-02 3,750 $0.00 5,180 No 4 M Direct
Common Stock Disposition 2015-11-02 1,396 $6.14 3,784 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Units Disposition 2015-11-02 3,750 $0.00 3,750 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
7,500 No 4 M Direct
  1. These units do not carry a conversion price.
  2. These shares were sold in the open market in order to meet the tax withholding obligations of the award holder in connection with the vesting of the holder's restricted stock award.
  3. Award vests in in annual installments over 4 years as long as holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date.
  4. These units do not expire.