0001209191-16-104911.txt : 20160302 0001209191-16-104911.hdr.sgml : 20160302 20160302204000 ACCESSION NUMBER: 0001209191-16-104911 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160301 FILED AS OF DATE: 20160302 DATE AS OF CHANGE: 20160302 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MAXLINEAR INC CENTRAL INDEX KEY: 0001288469 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 141896129 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5966 LA PLACE CT. CITY: CARLSBAD STATE: CA ZIP: 92008 BUSINESS PHONE: 760-692-0711 MAIL ADDRESS: STREET 1: 5966 LA PLACE CT. CITY: CARLSBAD STATE: CA ZIP: 92008 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LING CURTIS CENTRAL INDEX KEY: 0001478341 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34666 FILM NUMBER: 161479264 MAIL ADDRESS: STREET 1: 2051 PALOMAR AIRPORT RD, SUITE 100 CITY: CARLSBAD STATE: CA ZIP: 92011 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-03-01 0 0001288469 MAXLINEAR INC MXL 0001478341 LING CURTIS C/O MAXLINEAR, INC. 5966 LA PLACE COURT, SUITE 100 CARLSBAD CA 92008 1 1 0 0 Chief Technical Officer Class A Common Stock (par value $0.0001) 2016-03-01 4 C 0 9103 A 131067 D Class A Common Stock (par value $0.0001) 2016-03-01 4 M 0 10000 4.81 A 141067 D Class A Common Stock (par value $0.0001) 2016-03-01 4 M 0 12000 5.64 A 153067 D Class A Common Stock (par value $0.0001) 2016-03-01 4 S 0 31103 16.0204 D 121964 D Employee Stock Option (right to buy) 1.1613 2016-03-01 4 M 0 9103 0.00 D 2017-08-07 Class B Common Stock (convertible into Class A Common Stock) 9103 28033 D Class B Common Stock (convertible into Class A Common Stock) 2016-03-01 4 M 0 9103 0.00 A Class A Common Stock ($0.0001 par value) 9103 686839 D Class B Common Stock (convertible into Class A Common Stock) 2016-03-01 4 C 0 9103 0.00 D Class A Common Stock ($0.0001 par value) 9103 677736 D Employee Stock Option (right to buy) 4.81 2016-03-01 4 M 0 10000 0.00 D 2019-05-10 Class A Common Stock ($0.0001 par value) 10000 70000 D Employee Stock Option (right to buy) 5.64 2016-03-01 4 M 0 12000 0.00 D 2019-08-09 Class A Common Stock ($0.0001 par value) 12000 88000 D Reflects shares of Class B common stock converted into an equivalent number of shares of Class A common stock pursuant to a power of attorney granted by the reporting person on December 2, 2015 in connection with the adoption of a Rule 10b5-1 trading plan. The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on December 2, 2015. Represents the weighted average share price of an aggregate total of 31,103 shares sold in the price range of $15.79 to $16.31 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. The shares subject to the option became fully vested and exercisable on August 7, 2011. Each share of Class B Common Stock is convertible into one share of Class A Common Stock, which is the publicly traded stock, upon certain transfers and at the option of the holder. 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, twenty five percent (25%) of the shares subject to the option vested and became exercisable on May 10, 2013, and an additional twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on each successive anniversary thereafter, such that the option shall be fully vested and exercisable on May 10, 2016. 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 forty-eighth (1/48th) of the shares subject to the option shall vest and become exercisable on each one month anniversary of the vesting commencement date of August 9, 2012, such that the option shall be fully vested and exercisable on August 9, 2016. /s/ Adam Spice, as Attorney-in-Fact 2016-03-02