Form 4 for MXL MAXLINEAR, INC
Accepted 2021-11-23 00:00:00 ET · period of report 2020-11-09 · accession 0001288469-21-000260 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-11-23 | 2021-11-20 | MXL | Jones William Kelly | VP of Worldwide Ops | M - OptEx | $0.00 | +7,907 | 20.8K | +61% | $0 |
| D | 2021-11-23 | 2021-11-20 | MXL | Jones William Kelly | VP of Worldwide Ops | F - Tax | $70.68 | -7,907 | 12.9K | -38% | -$558.9K |
| D | 2021-11-23 | 2021-11-20 | MXL | Jones William Kelly | VP of Worldwide Ops | M - OptEx | $0.00 | -7,907 | 40.0K | -17% | $0 |
| D | 2021-11-23 | 2020-11-09 | MXL | Jones William Kelly | VP of Worldwide Ops | A - Grant | $0.00 | +60.0K | 60.0K | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-11-20 | M | A | 7,907 | $0.00 | 20,792 | D | — | — | (F1) Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. |
| 2 | Common | Common Stock | 2021-11-20 | F | D | 7,907 | $70.68 | 12,885 | D | — | — | (F2) On November 20, 2021, the Reporting Person's RSUs vested. The RSUs were settled on November 22, 2021, the first business day following the vesting date. The closing price of the issuer's common stock on November 19, 2021 was the settlement price used to calculate the shares withheld. |
| 3 | Derivative | Restricted Stock Units | 2021-11-20 | M | D | 7,907 | $0.00 | 40,000 | D | — · — to — | 7,907 Common Stock | (F1) Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. (F3) Subject to the Reporting Person continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) through each applicable vesting date, one-third (1/3rd) of the 60,000 RSUs subject to the award will vest on November 20, 2021, one-third (1/3rd) of the RSUs subject to the award will vest on November 20, 2022, and one-third (1/3rd) of the RSUs subject to the award will vest on November 20, 2023. |
| 4 | Derivative | Restricted Stock Units | 2020-11-09 | A | A | 60,000 | $0.00 | 60,000 | D | — · — to — | 60,000 Common Stock | (F1) Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. (F3) Subject to the Reporting Person continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) through each applicable vesting date, one-third (1/3rd) of the 60,000 RSUs subject to the award will vest on November 20, 2021, one-third (1/3rd) of the RSUs subject to the award will vest on November 20, 2022, and one-third (1/3rd) of the RSUs subject to the award will vest on November 20, 2023. |