0001209191-17-035143.txt : 20170524 0001209191-17-035143.hdr.sgml : 20170524 20170524195128 ACCESSION NUMBER: 0001209191-17-035143 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170522 FILED AS OF DATE: 20170524 DATE AS OF CHANGE: 20170524 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: Bergman Rick CENTRAL INDEX KEY: 0001321224 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15477 FILM NUMBER: 17867941 MAIL ADDRESS: STREET 1: 1251 MCKAY DRIVE CITY: SAN JOSE STATE: CA ZIP: 95131 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-05-22 0 0000319815 MAXWELL TECHNOLOGIES INC MXWL 0001321224 Bergman Rick 3888 CALLE FORTUNADA SAN DIEGO CA 92123 1 0 0 0 Restricted Stock Units 0.00 2017-05-22 4 A 0 15370 0.00 A Common Stock 15370 15370 D Stock Option (Right to Buy) 5.53 2017-05-22 4 A 0 5000 0.00 A 2027-05-22 Common Stock 5000 5000 D Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. The RSUs vest in full on May 20, 2018 as long as the holder remains in service to the Company. Vested shares will be delivered to the reporting person on the earlier of February 20, 2020, termination of the reporting person's service to the Company, the reporting person's death or a change in control of the Company. These units do not expire. Option becomes exercisable in one year as long as holder remains in service to the Company. /s/ Sabrina Randolph - by Power of Attorney 2017-05-24