Initial Statement of Beneficial Ownership (3)
January 15 2019 - 5:55PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Lough Emily
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2. Date of Event Requiring Statement (MM/DD/YYYY)
1/11/2019
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3. Issuer Name
and
Ticker or Trading Symbol
MAXWELL TECHNOLOGIES INC [MXWL]
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(Last)
(First)
(Middle)
3888 CALLE FORTUNADA
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
VP, General Counsel&Secretary /
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(Street)
SAN DIEGO, CA 92123
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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11674
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Units
(1)
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(2)
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(3)
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Common Stock
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11250
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$0.00
(4)
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D
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Market Stock Units
(5)
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(6)
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(3)
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Common Stock
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22500
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$0.00
(4)
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D
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Restricted Stock Units
(1)
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(7)
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(3)
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Common Stock
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9375
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$0.00
(4)
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D
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Market Stock Units
(5)
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(8)
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(3)
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Common Stock
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24376
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$0.00
(4)
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D
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Restricted Stock Units
(1)
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(9)
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(3)
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Common Stock
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5778
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$0.00
(4)
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D
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Market Stock Units
(5)
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(10)
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(3)
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Common Stock
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22865
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$0.00
(4)
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D
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Restricted Stock Units
(1)
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(11)
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(3)
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Common Stock
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500
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$0.00
(4)
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D
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Stock Options (Right to Buy)
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(12)
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2/10/2020
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Common Stock
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3000
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$15.71
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D
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Stock Options (Right to Buy)
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(13)
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2/24/2019
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Common Stock
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1750
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$6.70
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D
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Explanation of Responses:
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(1)
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Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock.
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(2)
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Award vests in annual installments over 4 years following the grant date of February 23, 2018 as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date.
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(3)
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These units do not expire.
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(4)
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These units were received as a grant or award for no consideration.
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(5)
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Each market stock unit represents a right to receive one share of the Issuer's common stock.
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(6)
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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 following the grant date of February 23, 2018. 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 the maximum number of shares that could vest under the grant.
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(7)
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Award vests in annual installments over 4 years following the grant date of March 2, 2017 as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date.
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(8)
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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 following the grant date of March 2, 2017. 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 the maximum number of shares that could vest under the grant.
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(9)
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Award vests in annual installments over 4 years following the grant date of January 15, 2016 as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date.
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(10)
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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 following the grant date of January 15, 2016. 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 the maximum number of shares that could vest under the grant.
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(11)
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Award vests in annual installments over 4 years following the grant date of March 13, 2015 as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date.
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(12)
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Option becomes exercisable in annual installments over 4 years following the grant date of February 10, 2010 as long as holder remains in service to the Company.
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(13)
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Option becomes exercisable in annual installments over 4 years following the grant date of February 24, 2009 as long as holder remains in service to the Company.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Lough Emily
3888 CALLE FORTUNADA
SAN DIEGO, CA 92123
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VP, General Counsel&Secretary
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Signatures
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/s/ Emily Lough
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1/15/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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