0001288469-21-000108.txt : 20210507 0001288469-21-000108.hdr.sgml : 20210507 20210507175614 ACCESSION NUMBER: 0001288469-21-000108 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210505 FILED AS OF DATE: 20210507 DATE AS OF CHANGE: 20210507 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LOUGHEED JAMES CENTRAL INDEX KEY: 0001642366 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34666 FILM NUMBER: 21904320 MAIL ADDRESS: STREET 1: 48720 KATO ROAD CITY: FREMONT STATE: CA ZIP: 94538 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 4 1 wf-form4_162042454821394.xml FORM 4 X0306 4 2021-05-05 0 0001288469 MAXLINEAR INC MXL 0001642366 LOUGHEED JAMES C/O MAXLINEAR, INC. 5966 LA PLACE COURT, SUITE 100 CARLSBAD CA 92008 0 1 0 0 See Remarks Common Stock 2021-05-05 4 M 0 4828 21.02 A 84535 D Common Stock 2021-05-05 4 M 0 148 13.03 A 84683 D Common Stock 2021-05-05 4 S 0 4976 36 D 79707 D Common Stock 2021-05-07 4 M 0 10000 13.03 A 89707 D Common Stock 2021-05-07 4 S 0 10000 36 D 79707 D Stock Option (right to buy) 21.02 2021-05-05 4 M 0 4828 0 D 2021-09-17 Common Stock 4828.0 0 D Stock Option (right to buy) 13.03 2021-05-05 4 M 0 148 0 D 2022-09-14 Common Stock 148.0 12531 D Stock Option (right to buy) 13.03 2021-05-07 4 M 0 10000 0 D 2022-09-14 Common Stock 10000.0 2531 D Subject to the Reporting Person continuing to provide services to the Company through each applicable vesting date, one-seventeenth (1/17th) of the shares subject to the option vested and became exercisable on May 17, 2017 (the "Vesting Commencement Date), and one seventeenth (1/17th) of the shares subject to the option shall vest and become exercisable each month thereafter on the same day of the month as the Vesting Commencement Date. Subject to the Reporting Person continuing to provide services to the Company through each applicable vesting date, the option shall vest as follows: (i) beginning on May 14, 2017 (the "Vesting Commencement Date) and through December 14, 2017, 11.452% of the shares subject to the option vest and become exercisable in equal monthly installments over such period on the same day of the month as the Vesting Commencement Date, (ii) beginning on January 14, 2018 and through December 14, 2018, 28.015% of the shares subject to the option shall vest and become exercisable in equal monthly installments over such period on the same day of the month as the Vesting Commencement Date, and (iii) beginning on January 14, 2019 and through December 14, 2019, 60.533% of the shares subject to the option shall vest and become exercisable in equal monthly installments on the same day of the month as the Vesting Commencement Date. Vice President, Marketing, High Performance Analog /s/ Connie Kwong, as Attorney-in-Fact 2021-05-07