Statement of Changes in Beneficial Ownership (4)
May 27 2021 - 7:44PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
SEENDRIPU KISHORE |
2. Issuer Name and Ticker or Trading Symbol
MAXLINEAR INC
[
MXL
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chairman, President and CEO |
(Last)
(First)
(Middle)
C/O MAXLINEAR, INC., 5966 LA PLACE COURT, SUITE 100 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/25/2021 |
(Street)
CARLSBAD, CA 92008
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 5/25/2021 | | M | | 21090 | A | $9.23 | 211596 | D | |
Common Stock | 5/25/2021 | | S | | 13204 | D | $36.4496 (1) | 198392 | D | |
Common Stock | 5/26/2021 | | M | | 21090 | A | $9.23 | 219482 | D | |
Common Stock | 5/26/2021 | | S | | 13198 | D | $36.6203 (2) | 206284 | D | |
Common Stock | 5/27/2021 | | M | | 21090 | A | $9.23 | 227374 | D | |
Common Stock | 5/27/2021 | | S | | 13056 | D | $38.2259 (3) | 214318 | D | |
Common Stock | | | | | | | | 551430 | I | See footnote (4) |
Common Stock | | | | | | | | 410731 | I | See footnote (5) |
Common Stock | | | | | | | | 410731 | I | See footnote (6) |
Common Stock | | | | | | | | 344997 | I | See footnote (7) |
Common Stock | | | | | | | | 344997 | I | See footnote (8) |
Common Stock | | | | | | | | 394891 | I | See footnote (9) |
Common Stock | | | | | | | | 394891 | I | See footnoe (10) |
Common Stock | | | | | | | | 396526 | I | See footnote (11) |
Common Stock | | | | | | | | 396526 | I | See footnote (12) |
Common Stock | | | | | | | | 18920 | I | See footnote (13) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy) | $9.23 | 5/25/2021 | | M | | | 21090 | (14) | 6/2/2021 | Common Stock | 21090.0 | $0 | 84347 | D | |
Stock Option (right to buy) | $9.23 | 5/26/2021 | | M | | | 21090 | (14) | 6/2/2021 | Common Stock | 21090.0 | $0 | 63257 | D | |
Stock Option (right to buy) | $9.23 | 5/27/2021 | | M | | | 21090 | (14) | 6/2/2021 | Common Stock | 21090.0 | $0 | 42167 | D | |
Explanation of Responses: |
(1) | Represents the weighted average share price of an aggregate total of 13,204 shares sold in the price range of $36.18 to $36.69 by the Reporting Person. The Reporting Person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(2) | Represents the weighted average share price of an aggregate total of 13,198 shares sold in the price range of $36.347 to $36.84 by the Reporting Person. The Reporting Person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(3) | Represents the weighted average share price of an aggregate total of 13,056 shares sold in the price range of $38.065 to $38.375 by the Reporting Person. The Reporting Person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(4) | Shares held by the Seendripu Family Trust dated 10/5/09, a trust for the benefit of the Reporting Person and the Reporting Person's spouse, for which the Reporting Person and the Reporting Person's spouse serve as trustees. |
(5) | Shares held by the Kishore V. Seendripu 2019 Annuity Trust dated May 6, 2019, a grantor retained annuity trust, for which the Reporting Person serves as trustee. |
(6) | Shares held by the Rekha S. Seendripu 2019 Annuity Trust dated May 6, 2019, a grantor retained annuity trust, for which the Reporting Person serves as trustee. |
(7) | Shares held by the Kishore V. Seendripu 2019-2 Annuity Trust dated November 9, 2019, a grantor retained annuity trust, for which the Reporting Person serves as trustee. |
(8) | Shares held by the Rekha S. Seendripu 2019-2 Annuity Trust dated November 9, 2019, a grantor retained annuity trust, for which the Reporting Person serves as trustee. |
(9) | Shares held by the Kishore V. Seendripu 2020 Annuity Trust A dated June 1, 2020, a grantor retained annuity trust, for which the Reporting Person serves as trustee. |
(10) | Shares held by the Rekha S. Seendripu 2020 Annuity Trust A dated June 1, 2020, a grantor retained annuity trust, for which the Reporting Person serves as trustee. |
(11) | Shares held by the IKS Heritage Trust dated July 13, 2020, a trust for the benefit of the Reporting Person's child, and for which the Reporting Person serves as co-trustee. |
(12) | Shares held by the SS Heritage Trust dated July 13, 2020, a trust for the benefit of the Reporting Person's child, and for which the Reporting Person serves as co-trustee. |
(13) | Shares held by the Seendripu Relatives Trust dated 10/5/09, a trust for the benefit of the Reporting Person's parents and siblings, and for which the Reporting Person serves as trustee. |
(14) | Subject to the Reporting Person's continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) through each applicable vesting date, one-sixteenth (1/16th) of the 105,437 shares subject to the option vested and became exercisable on August 20, 2014, and an additional one-sixteenth (1/16th) of the shares subject to the option shall vest and become exercisable on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested and exercisable on May 20, 2018. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
SEENDRIPU KISHORE C/O MAXLINEAR, INC. 5966 LA PLACE COURT, SUITE 100 CARLSBAD, CA 92008 | X | X | Chairman, President and CEO |
|
Signatures
|
/s/ Connie Kwong, as Attorney-in-Fact | | 5/27/2021 |
**Signature of Reporting Person | Date |
Maxlinear (NYSE:MXL)
Historical Stock Chart
From Mar 2024 to Apr 2024
Maxlinear (NYSE:MXL)
Historical Stock Chart
From Apr 2023 to Apr 2024