0001209191-17-045349.txt : 20170717 0001209191-17-045349.hdr.sgml : 20170717 20170717163434 ACCESSION NUMBER: 0001209191-17-045349 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170713 FILED AS OF DATE: 20170717 DATE AS OF CHANGE: 20170717 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: 17967829 MAIL ADDRESS: STREET 1: C/O FREESCALE SEMICONDUCTOR, INC. STREET 2: 6501 WILLIAM CANNON DRIVE WEST CITY: AUSTIN STATE: TX ZIP: 78735 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-07-13 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 2017-07-13 4 A 0 42662 0.00 A 308592 D Market Stock Units 0.00 2017-07-13 4 A 0 118000 0.00 A Common Stock 118000 276000 D This acquisition represents shares received under the Company's short-term incentive bonus plan. 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. The amount included in the table above represents a portion of the grant originally made to the Reporting Person on March 2, 2017, but was contingent upon the approval of an amendment to the Company's equity incentive plan at our 2017 annual meeting of stockholders. The market stock units included in the table above will only be eligible to vest if performance is above-target. These units were received as a grant or award for no consideration. /s/ Sabrina Randolph, by Power of Attorney 2017-07-17