0001181431-13-045130.txt : 20130815 0001181431-13-045130.hdr.sgml : 20130815 20130815192107 ACCESSION NUMBER: 0001181431-13-045130 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130813 FILED AS OF DATE: 20130815 DATE AS OF CHANGE: 20130815 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WARWICK JOHN CENTRAL INDEX KEY: 0001217629 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15477 FILM NUMBER: 131043537 MAIL ADDRESS: STREET 1: EMULEX CORPORATION STREET 2: 3333 SUSAN STREET CITY: COSTA MESA STATE: CA ZIP: 92626 4 1 rrd388381.xml JOHN WARWICK - STOCK OPTION AND RESTRICTED STOCK AWARD GRANT - 8/13/13 X0306 4 2013-08-13 0 0000319815 MAXWELL TECHNOLOGIES INC MXWL 0001217629 WARWICK JOHN 3888 CALLE FORTUNADA SAN DIEGO CA 92123 0 1 0 0 Chief Operating Officer Common Stock 2013-08-13 4 A 0 31250 0 A 31250 D Common Stock 2013-08-13 4 A 0 62500 0 A 93750 D Employee Stock Option (Right to Buy) 6.80 2013-06-17 4 A 0 75000 0 D 2023-06-17 Common Stock 75000 75000 D This acquisition represents a restricted stock award which will vest in annual installments over 4 years beginning with the commencement of employment, as long as the holder remains in service to the Company. This acquisition represents a restricted stock award with vesting subject to the achievement of Company performance targets by December 31, 2015. 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 maximum number of shares that could vest under the award. Option becomes exercisable in four equal annual installments following the date of grant. John Warwick 2013-08-15