0001209191-17-018518.txt : 20170306
0001209191-17-018518.hdr.sgml : 20170306
20170306200253
ACCESSION NUMBER: 0001209191-17-018518
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170302
FILED AS OF DATE: 20170306
DATE AS OF CHANGE: 20170306
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: 17669369
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
2017-03-02
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
2017-03-02
4
M
0
1983
0.00
A
220027
D
Market Stock Units
0.00
2017-03-02
4
M
0
1983
0.00
D
Common Stock
1983
182917
D
Restricted Stock Units
0.00
2017-03-02
4
D
0
80000
0.00
D
Common Stock
80000
0
D
Restricted Stock Units
0.00
2017-03-02
4
A
0
92000
0.00
A
Common Stock
92000
92000
D
Market Stock Units
0.00
2017-03-02
4
A
0
158000
0.00
A
Common Stock
158000
158000
D
These units do not carry a conversion price.
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 a period of three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. A portion of this award vested on March 2, 2017. 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.
Each restricted stock unit represents a right to receive one share of the Issuer's common stock.
This disposition represents restricted stock units with vesting subject to the achievement of Company performance targets by December 31, 2016. The amount included in the table above represents the maximum number of shares that could have vested under the grant. As the performance targets were not achieved, the restricted stock units were cancelled.
Award vests in annual installments over 4 years as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date.
This award represents market stock units with vesting based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years. 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 grant. An additional grant of 118,000 market stock units for above-target performance was also approved by the Company's compensation committee, but is contingent upon and subject to approval of an amendment to the Company's equity incentive plan at our 2017 annual meeting of stockholders.
Sabrina Randolph, by Power of Attorney
2017-03-06