0001209191-19-030994.txt : 20190517
0001209191-19-030994.hdr.sgml : 20190517
20190517164501
ACCESSION NUMBER: 0001209191-19-030994
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190516
FILED AS OF DATE: 20190517
DATE AS OF CHANGE: 20190517
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Wiggins Everett
CENTRAL INDEX KEY: 0001736095
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15477
FILM NUMBER: 19836445
MAIL ADDRESS:
STREET 1: 3888 CALLE FORTUNADA
CITY: SAN DIEGO
STATE: CA
ZIP: 92123
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: MAXWELL TECHNOLOGIES INC
CENTRAL INDEX KEY: 0000319815
STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690]
IRS NUMBER: 952390133
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 3888 CALLE FORTUNADA
CITY: SAN DIEGO
STATE: CA
ZIP: 92123
BUSINESS PHONE: 858-503-3300
MAIL ADDRESS:
STREET 1: 3888 CALLE FORTUNADA
CITY: SAN DIEGO
STATE: CA
ZIP: 92123
FORMER COMPANY:
FORMER CONFORMED NAME: MAXWELL LABORATORIES INC /DE/
DATE OF NAME CHANGE: 19920703
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-05-16
1
0000319815
MAXWELL TECHNOLOGIES INC
MXWL
0001736095
Wiggins Everett
3888 CALLE FORTUNADA
SAN DIEGO
CA
92123
0
1
0
0
Vice President, Operations
Restricted Stock Units
2019-05-16
4
D
0
17037
0.00
D
Common Stock
17037
0
D
Restricted Stock Units
2019-05-16
4
D
0
22500
0.00
D
Common Stock
22500
0
D
Market Stock Units
2019-05-16
4
D
0
22500
0.00
D
Common Stock
22500
0
D
Restricted Stock Units
2019-05-16
4
D
0
18750
0.00
D
Common Stock
18750
0
D
Market Stock Units
2019-05-16
4
D
0
23750
0.00
D
Common Stock
23750
0
D
Restricted Stock Units
2019-05-16
4
D
0
9630
0.00
D
Common Stock
9630
0
D
Restricted Stock Units
2019-05-16
4
D
0
1841
0.00
D
Common Stock
18741
0
D
Employee Stock Options (Right to Buy)
2019-05-16
4
D
0
14136
0.00
D
2025-03-13
Common Stock
14136
0
D
Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. This award represents RSUs received under the short-term incentive bonus plan which are fully vested upon grant. The award was assumed by Tesla in the merger and converted into fully vested restricted stock units representing a right to receive an aggregate of 328 shares of the Common Stock of Tesla.
These units do not expire.
Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. The RSU, which vests in annual installments over 4 years beginning February 20, 2019, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 434 shares of the Common Stock of Tesla on the same terms and conditions (including with respect to vesting and exercisability) as were applicable to the RSU prior to the consummation of the merger.
Each market stock unit (MSU) represents a right to receive one share of the Issuer's common stock. The MSUs vest based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. The amount included in the table above represents the target number of shares which vest upon a change in control, and therefore vest in connection with the Merger Agreement and are assumed by Tesla in the merger and converted into fully vested restricted stock units representing a right to receive an aggregate of 434 shares of the Common Stock of Tesla.
Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. The RSU, which vests in annual installments over 4 years beginning February 20, 2018, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 361 shares of the Common Stock of Tesla on the same terms and conditions (including with respect to vesting and exercisability) as were applicable to the RSU prior to the consummation of the merger.
Each market stock unit (MSU) represents a right to receive one share of the Issuer's common stock. The MSUs vest based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. The amount included in the table above represents the target number of shares which vest upon a change in control, and therefore vest in connection with the Merger Agreement and are assumed by Tesla in the merger and converted into fully vested restricted stock units representing a right to receive an aggregate of 458 shares of the Common Stock of Tesla.
Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. The RSU, which vests in annual installments over 4 years beginning January 15, 2017, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 185 shares of the Common Stock of Tesla on the same terms and conditions (including with respect to vesting and exercisability) as were applicable to the RSU prior to the consummation of the merger.
Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. The RSU, which vests in annual installments over 4 years beginning March 13, 2016, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 35 shares of the Common Stock of Tesla on the same terms and conditions (including with respect to vesting and exercisability) as were applicable to the RSU prior to the consummation of the merger.
Option becomes exercisable in annual installments over 4 years beginning March 13, 2016 as long as holder remains in service to the Company. The option was assumed by Tesla in the merger and replaced with an option to purchase 272 shares of Tesla Common Stock with an exercise price of $379.80 per share.
/s/ Emily Lough, by Power of Attorney
2019-05-17