0001209191-16-091898.txt : 20160119 0001209191-16-091898.hdr.sgml : 20160118 20160119075832 ACCESSION NUMBER: 0001209191-16-091898 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160115 FILED AS OF DATE: 20160119 DATE AS OF CHANGE: 20160119 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: HUMPHREY CHRISTOPHER CENTRAL INDEX KEY: 0001272855 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15477 FILM NUMBER: 161346986 MAIL ADDRESS: STREET 1: 15353 BARRANCA PARKWAY CITY: IRVINE STATE: CA ZIP: 92618 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-01-15 0 0000319815 MAXWELL TECHNOLOGIES INC MXWL 0001272855 HUMPHREY CHRISTOPHER 3888 CALLE FORTUNADA SAN DIEGO CA 92123 0 1 0 0 VP of Marketing and Bus. Dev. Restricted Stock Units 2016-01-15 4 A 0 17720 A Common Stock 17720 17720 D Market Stock Units 2016-01-15 4 A 0 35440 A Common Stock 35440 35440 D Each restricted stock unit represents a right to receive one share of the Issuer's common stock. Award vests in annual installments over 4 years as long as holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date. These units were received as a grant or award for no consideration. Each market stock unit represents a right to receive one share of the Issuer's common stock. This award represents market stock units with vesting based on performance of the Company's common stock compared to the Nasdaq Composite Index over overlapping performance periods of up to three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. The number of shares included in the table above represents the maximum number that could vest under the award. Sabrina Randolph, Attorney-in-fact 2016-01-19