0001209191-16-148399.txt : 20161104 0001209191-16-148399.hdr.sgml : 20161104 20161104160359 ACCESSION NUMBER: 0001209191-16-148399 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161102 FILED AS OF DATE: 20161104 DATE AS OF CHANGE: 20161104 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: Fink Franz CENTRAL INDEX KEY: 0001296307 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15477 FILM NUMBER: 161975199 MAIL ADDRESS: STREET 1: C/O FREESCALE SEMICONDUCTOR, INC. STREET 2: 6501 WILLIAM CANNON DRIVE WEST CITY: AUSTIN STATE: TX ZIP: 78735 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-11-02 0 0000319815 MAXWELL TECHNOLOGIES INC MXWL 0001296307 Fink Franz 3888 CALLE FORTUNADA SAN DIEGO CA 92123 1 1 0 0 Chief Executive Officer Common Stock 2016-11-02 4 M 0 15254 0.00 A 218044 D Restricted Stock Units 0.00 2016-11-02 4 M 0 15254 0.00 D Common Stock 15254 30970 D These units do not carry a conversion price. This award represents restricted stock units with vesting subject to the achievement of Company performance targets. 33% of the award vested upon achievement of the first performance condition on November 2, 2016. The vesting of the remaining 67% of the award is subject to the achievement of a performance condition by December 31, 2019. Depending on the level of performance actually achieved, the number of shares that may vest under this grant will vary. The amount included in the table above represents the maximum number of shares that could vest under the grant. These units were received as a grant or award for no consideration. Sabrina Randolph, by Power of Attorney 2016-11-04