0001209191-18-012773.txt : 20180222 0001209191-18-012773.hdr.sgml : 20180222 20180222204503 ACCESSION NUMBER: 0001209191-18-012773 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180220 FILED AS OF DATE: 20180222 DATE AS OF CHANGE: 20180222 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: 18634462 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 2018-02-20 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 2018-02-20 4 M 0 23113 0.00 A 561705 D Common Stock 2018-02-20 4 M 0 23000 0.00 A 584705 D Common Stock 2018-02-20 4 M 0 6900 0.00 A 591605 D Common Stock 2018-02-20 4 A 0 91680 0.00 A 683285 D Common Stock 2018-02-20 4 F 0 50337 5.89 D 632948 D Restricted Stock Units 0.00 2018-02-20 4 M 0 23113 0.00 D Common Stock 23113 46224 D Restricted Stock Units 0.00 2018-02-20 4 M 0 23000 0.00 D Common Stock 23000 69000 D Market Stock Units 0.00 2018-02-20 4 M 0 6900 0.00 D Common Stock 6900 269100 D Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. Each market stock unit represents a right to receive one share of the Issuer's common stock. This acquisition represents shares received under the Company's short-term incentive bonus plan. These shares were withheld in order to meet the tax withholding obligations of the award holder in connection with the vesting of the holder's restricted stock unit awards and market stock unit awards as well as tax withholding obligations related to shares received under the Company's short-term incentive bonus plan. 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. These units do not expire. 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 February 20, 2018. The amount included in the table above represents the maximum number of shares that could vest under the grant. Sabrina Randolph, by Power of Attorney 2018-02-22