0001209191-17-055504.txt : 20171003 0001209191-17-055504.hdr.sgml : 20171003 20171003194149 ACCESSION NUMBER: 0001209191-17-055504 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170929 FILED AS OF DATE: 20171003 DATE AS OF CHANGE: 20171003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lyle David CENTRAL INDEX KEY: 0001416939 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15477 FILM NUMBER: 171120016 MAIL ADDRESS: STREET 1: 6290 SEQUENCE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 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 2017-09-29 0 0000319815 MAXWELL TECHNOLOGIES INC MXWL 0001416939 Lyle David 3888 CALLE FORTUNADA SAN DIEGO CA 92123 0 1 0 0 Chief Financial Officer Common Stock 2017-09-29 4 M 0 40000 0.00 A 74716 D Restricted Stock Units 0.00 2017-09-29 4 M 0 40000 0.00 D Common Stock 40000 40000 D Reflects restricted stock units (RSUs) that will settle after the current restricted trading period for identified insiders has ended. These units do not carry a conversion price. On April 12, 2017, the reporting person was granted 80,000 RSUs with vesting subject to the achievement of specific performance targets. The number of shares and timing of vesting under this grant will vary depending on performance achievement. 40,000 RSUs vested upon achievement of the first performance condition on September 29, 2017 and the remaining 40,000 RSUs are subject to vesting by December 31, 2018. These units were received as a grant or award for no consideration. /s/ Sabrina Randolph, by Power of Attorney 2017-10-03