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