Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| MAXLINEAR, INCMXL · Entity 3882 | VP, Chief Financial Officer | May 21, 2018 | May 24, 2018 |
| Rocket Lab CorpRKLB · Entity 1039 | Chief Financial Officer | October 01, 2026 | October 02, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
MAXLINEAR, INC
Report date May 21, 2018 · Filed May 24, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 360,519 |
Reported balance
After 2018-05-21 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-05-21 · Exercise / conversion · Acquired 5,881 · Balance 360,519 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F2: Includes 983 shares of Common Stock acquired under the Company's 2010 Employee Stock Purchase Plan on May 15, 2018. |
| Common StockSEC Table I · non-derivative | Direct | 354,638 |
Reported balance
After 2018-05-21 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2018-05-21 · Tax withholding · Disposed 5,881 · Balance 354,638 |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-05-21 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-05-21 · Exercise / conversion · Disposed 1,053 · Balance 0 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F3: 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 33,979 RSUs subject to the award shall vest on August 20, 2014, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2018. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 17,500 |
Reported balance
After 2018-05-21 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-05-21 · Exercise / conversion · Disposed 1,967 · Balance 17,500 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F4: 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 70,000 RSUs subject to the award shall vest on August 20, 2015, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2019. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 23,829 |
Reported balance
After 2018-05-21 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-05-21 · Exercise / conversion · Disposed 1,810 · Balance 23,829 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F5: 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 63,543 RSUs subject to the award shall vest on February 20, 2016, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive May 20, August 20, November 20, and February 20 thereafter, such that the award will be fully vested on November 20, 2019. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 25,710 |
Reported balance
After 2018-05-21 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-05-21 · Exercise / conversion · Disposed 1,051 · Balance 25,710 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F6: 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 37,397 RSUs subject to the award shall vest on May 20, 2017, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive August 20, November 20, February 20 and May 20 thereafter, such that the award will be fully vested on February 20, 2021. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock.
F2: Includes 983 shares of Common Stock acquired under the Company's 2010 Employee Stock Purchase Plan on May 15, 2018.
F3: 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 33,979 RSUs subject to the award shall vest on August 20, 2014, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2018.
F4: 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 70,000 RSUs subject to the award shall vest on August 20, 2015, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2019.
F5: 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 63,543 RSUs subject to the award shall vest on February 20, 2016, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive May 20, August 20, November 20, and February 20 thereafter, such that the award will be fully vested on November 20, 2019.
F6: 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 37,397 RSUs subject to the award shall vest on May 20, 2017, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive August 20, November 20, February 20 and May 20 thereafter, such that the award will be fully vested on February 20, 2021.
Rocket Lab Corp
Report date October 01, 2026 · Filed October 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,155,967 |
Ending reported balance
After 2026-10-01 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2026-10-01 · Exercise / conversion · Acquired 140,157 · Balance 1,296,124 Row 2 · 2026-10-01 · Sale · Disposed 39,669 · Balance 1,256,455 F1: Represents the sale of shares which occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 03, 2026. F2: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $69.5300 to $70.5200. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 3 · 2026-10-01 · Sale · Disposed 85,288 · Balance 1,171,167 F1: Represents the sale of shares which occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 03, 2026. F3: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $70.5300 to $71.5200. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 4 · 2026-10-01 · Sale · Disposed 15,200 · Balance 1,155,967 F1: Represents the sale of shares which occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 03, 2026. F4: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $71.5300 to $72.3900. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.09 · Expires 2028-08-03 | Direct | 2,242,511 |
Reported balance
After 2026-10-01 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-10-01 · Exercise / conversion · Disposed 140,157 · Balance 2,242,511 F5: The stock option was granted on August 3, 2018, and had a vesting commencement date of May 25, 2018. 1/4 of the shares subject to the stock option vest on the one year anniversary of the vesting commencement date, and 1/48 of the shares subject to the stock option vest on a monthly basis each month thereafter, subject, in each case, to the reporting person's continued service relationship through each applicable vesting date. |
| Common StockSEC Table I · non-derivative | Indirectby Trust | 250,000 |
Reported balance
Holding disclosure · report date 2026-10-01 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 250,000 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the sale of shares which occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 03, 2026.
F2: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $69.5300 to $70.5200. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F3: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $70.5300 to $71.5200. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F4: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $71.5300 to $72.3900. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F5: The stock option was granted on August 3, 2018, and had a vesting commencement date of May 25, 2018. 1/4 of the shares subject to the stock option vest on the one year anniversary of the vesting commencement date, and 1/48 of the shares subject to the stock option vest on a monthly basis each month thereafter, subject, in each case, to the reporting person's continued service relationship through each applicable vesting date.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 16, 2025 Filed Sep 18, 2025 23:20 UTC | Rocket Lab Corp RKLB · Entity 1039 | SaleCommon Stock | 12,358 | $47.79 | $590,527.03 |
DisclosureSEC source: 0002001011-25-000078 · edgardoc.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,120,877 F1 · shares: Represents the sale of shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units previously granted to the reporting person. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.1300 to $48.1200, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 30, 2025 Filed Jun 4, 2025 00:09 UTC | Rocket Lab Corp RKLB · Entity 1039 | SaleCommon Stock | 63,444 | $26.66 | $1,691,347.25 |
DisclosureSEC source: 0000950170-25-081268 · ownership.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,133,235 F1 · shares: Represents the sale of shares required to be sold by the Reporting Person pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units previously granted to the Reporting Person. Such sales were automatic and not in the discretion of the Reporting Person. F2 · price: The price reported in column 4 is a weighted average price of the aggregate number of shares. These shares were sold in multiple transactions in bulk at prices ranging from $26.0500 to $27.0300 and $27.0500 to $27.1400, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 14, 2025 Filed Mar 19, 2025 00:35 UTC | Rocket Lab Corp RKLB · Entity 1039 | SaleCommon Stock | 62,843 | $18.18 | $1,142,573.72 |
DisclosureSEC source: 0000950170-25-041663 · ownership.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,196,679 F1 · shares: Represents the sale of shares required to be sold by the Reporting Person pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units previously granted to the Reporting Person. Such sales were automatic and not in the discretion of the Reporting Person. F2 · price: The price reported in column 4 is a weighted average price of the aggregate number of shares. These shares were sold in multiple transactions in bulk at prices ranging from $17.8100 to $18.4300, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 25, 2024 Filed Nov 27, 2024 21:50 UTC | Rocket Lab Corp RKLB · Entity 1039 | SaleCommon Stock | 62,511 | $24.15 | $1,509,365.60 |
DisclosureSEC source: 0000950170-24-131578 · ownership.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,259,522 F1 · shares: Represents the sale of shares required to be sold by the Reporting Person pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units previously granted to the Reporting Person. Such sales were automatic and not in the discretion of the Reporting Person. F2 · price: The price reported in column 4 is a weighted average price of the aggregate number of shares. These shares were sold in multiple transactions in bulk at prices ranging from $23.2000 to $24.1900, $24.2100 to $25.2000 and $25.2100 to $25.5600, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · balance_after: Includes 868 shares acquired under the Rocket Lab USA, Inc. 2021 Employee Stock Purchase Plan on November 21, 2024 in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| August 22, 2024 Filed Aug 27, 2024 00:03 UTC | Rocket Lab Corp RKLB · Entity 1039 | SaleCommon Stock | 62,512 | $6.96 | $435,083.52 |
DisclosureSEC source: 0000950170-24-100736 · ownership.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,321,165 F1 · shares: Represents the sale of shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units previously granted to the reporting person. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.78 to $7.06, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| May 24, 2024 Filed May 28, 2024 22:30 UTC | Rocket Lab Corp RKLB · Entity 1039 | SaleCommon Stock | 63,529 | $4.22 | $267,901.79 |
DisclosureSEC source: 0000950170-24-065490 · ownership.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,383,677 F1 · shares: Represents the sale of shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units previously granted to the reporting person. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.18 to $4.245, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. F3 · balance_after: Includes 5,000 shares acquired under the Rocket Lab USA, Inc. 2021 Employee Stock Purchase Plan on May 21, 2024 in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| March 05, 2024 Filed Mar 8, 2024 00:50 UTC | Rocket Lab Corp RKLB · Entity 1039 | SaleCommon Stock | 67,160 | $4.25 | $285,631.48 |
DisclosureSEC source: 0000950170-24-028259 · ownership.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,442,206 F1 · shares: Represents the sale of shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units previously granted to the reporting person. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.17 to $4.38, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| November 29, 2023 Filed Dec 1, 2023 00:49 UTC | Rocket Lab Corp RKLB · Entity 1039 | SaleCommon Stock | 57,721 | $4.46 | $257,608.82 |
DisclosureSEC source: 0000950170-23-067115 · ownership.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,509,366 F1 · shares: Represents the sale of shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units previously granted to the reporting person. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.35 to $4.62, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. F3 · balance_after: Includes 794 shares acquired under the Rocket Lab USA, Inc. 2021 Employee Stock Purchase Plan on November 21, 2023 in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| August 25, 2023 Filed Aug 29, 2023 21:40 UTC | Rocket Lab Corp RKLB · Entity 1039 | SaleCommon Stock | 61,377 | $5.74 | $352,524.94 |
DisclosureSEC source: 0000899243-23-018577 · doc4.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,566,293 F1 · shares: Represents the sale of shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units previously granted to the reporting person. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.63 to $5.87, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. F3 · balance_after: Includes 3,142 shares and 4,942 shares acquired under the Rocket Lab USA, Inc. 2021 Employee Stock Purchase Plan on May 20, 2022 and May 19, 2023, respectively, in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| May 26, 2023 Filed May 31, 2023 22:57 UTC | Rocket Lab Corp RKLB · Entity 1039 | SaleCommon Stock | 66,582 | $4.50 | $299,352.67 |
DisclosureSEC source: 0000899243-23-014185 · doc4.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,619,586 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units previously granted to the reporting person. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.39 to $4.515, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| March 09, 2023 Filed Mar 14, 2023 01:35 UTC | Rocket Lab Corp RKLB · Entity 1039 | SaleCommon Stock | 64,189 | $4.23 | $271,776.23 |
DisclosureSEC source: 0000899243-23-008281 · doc4.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,686,168 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units previously granted to the reporting person. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.15 to $4.34, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| November 25, 2022 Filed Nov 29, 2022 21:56 UTC | Rocket Lab Corp RKLB · Entity 1039 | SaleCommon Stock | 45,659 | $4.22 | $192,680.98 |
DisclosureSEC source: 0000899243-22-037138 · doc4.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,750,357 F1 · shares: Represents the sale of Common Shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units previously granted to the reporting person. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.14 to $4.525, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| August 24, 2022 Filed Aug 26, 2022 22:19 UTC | Rocket Lab Corp RKLB · Entity 1039 | SaleCommon Stock | 41,508 | $5.25 | $217,917.00 |
DisclosureSEC source: 0000899243-22-029887 · doc4.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,796,016 F1 · shares: Represents the sale of shares pursuant to a "sell-to-cover" transaction in order to satisfy applicable tax withholding obligations in connection with the vesting and settlement of restricted stock units previously granted to the reporting person. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.14 to $5.35, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| May 12, 2022 Filed May 16, 2022 20:34 UTC | Rocket Lab Corp RKLB · Entity 1039 | GrantCommon Stock | 1,837,524 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-018150 · doc4.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,837,524 F1 · shares: Represents restricted stock units ("RSUs") granted to Mr. Spice under the Rocket Lab USA, Inc. 2021 Stock Option and Incentive Plan (the "2021 Plan"). Such RSUs will vest as follows: 1/16 of the RSUs will vest on August 22, 2022 and 1/16 of the RSUs will vest on each March 1st, May 22nd, August 22nd or November 22nd thereafter, in each case subject to the reporting person's continuous service relationship through each applicable vesting date. The RSUs were granted on May 12, 2022. Read SEC document |
| May 21, 2018 Filed May 24, 2018 00:37 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 1,051 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-032785 · doc4.xml · derivative · entry 6 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,710 Underlying: Common Stock · 1,051 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F6 · derivative.exercise_date: 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 37,397 RSUs subject to the award shall vest on May 20, 2017, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive August 20, November 20, February 20 and May 20 thereafter, such that the award will be fully vested on February 20, 2021. F6 · derivative.expiration_date: 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 37,397 RSUs subject to the award shall vest on May 20, 2017, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive August 20, November 20, February 20 and May 20 thereafter, such that the award will be fully vested on February 20, 2021. Read SEC document |
| May 21, 2018 Filed May 24, 2018 00:37 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 1,810 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-032785 · doc4.xml · derivative · entry 5 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,829 Underlying: Common Stock · 1,810 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F5 · derivative.exercise_date: 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 63,543 RSUs subject to the award shall vest on February 20, 2016, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive May 20, August 20, November 20, and February 20 thereafter, such that the award will be fully vested on November 20, 2019. F5 · derivative.expiration_date: 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 63,543 RSUs subject to the award shall vest on February 20, 2016, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive May 20, August 20, November 20, and February 20 thereafter, such that the award will be fully vested on November 20, 2019. Read SEC document |
| May 21, 2018 Filed May 24, 2018 00:37 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 1,967 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-032785 · doc4.xml · derivative · entry 4 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 1,967 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F4 · derivative.exercise_date: 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 70,000 RSUs subject to the award shall vest on August 20, 2015, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2019. F4 · derivative.expiration_date: 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 70,000 RSUs subject to the award shall vest on August 20, 2015, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2019. Read SEC document |
| May 21, 2018 Filed May 24, 2018 00:37 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 1,053 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-032785 · doc4.xml · derivative · entry 3 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,053 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F3 · derivative.exercise_date: 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 33,979 RSUs subject to the award shall vest on August 20, 2014, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2018. F3 · derivative.expiration_date: 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 33,979 RSUs subject to the award shall vest on August 20, 2014, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2018. Read SEC document |
| May 21, 2018 Filed May 24, 2018 00:37 UTC | MAXLINEAR, INC MXL · Entity 3882 | Tax withholdingCommon Stock | 5,881 | $18.94 | $111,386.14 |
DisclosureSEC source: 0001209191-18-032785 · doc4.xml · nonDerivative · entry 2 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 354,638 Read SEC document |
| May 21, 2018 Filed May 24, 2018 00:37 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionCommon Stock | 5,881 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-032785 · doc4.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 360,519 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F2 · balance_after: Includes 983 shares of Common Stock acquired under the Company's 2010 Employee Stock Purchase Plan on May 15, 2018. Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 21:11 UTC | MAXLINEAR, INC MXL · Entity 3882 | Tax withholdingCommon Stock | 7,511 | $22.73 | $170,725.03 |
DisclosureSEC source: 0001209191-18-015579 · doc4.xml · nonDerivative · entry 2 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 346,728 Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 21:11 UTC | MAXLINEAR, INC MXL · Entity 3882 | GrantCommon Stock | 15,398 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-015579 · doc4.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 354,239 F1 · shares: Represents shares of Common Stock issued to the reporting person in connection with a special bonus. All shares were issued pursuant to the Company's 2010 Equity Incentive Plan. Grant amounts were determined based on the award amount approved and the closing price of the Company's Common Stock in trading on the New York Stock Exchange on February 28, 2018. Read SEC document |
| February 26, 2018 Filed Mar 1, 2018 02:25 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 1,135 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-014759 · doc4.xml · derivative · entry 6 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,047 Underlying: Common Stock · 1,135 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F6 · derivative.exercise_date: 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 37,397 RSUs subject to the award shall vest on May 20, 2017, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive August 20, November 20, February 20 and May 20 thereafter, such that the award will be fully vested on February 20, 2021. Reporting Person deferred delivery of shares of Common Stock issuable upon the vesting of RSUs on February 20, 2018. On February 26, 2018, the deferred shares of Common Stock were delivered to the Reporting Person. Shares withheld by the Company to satisfy tax withholding obligations (and the net issuance) is be based on the closing price of the Company's Common Stock in trading on the New York Stock Exchange on February 26, 2018. F6 · derivative.expiration_date: 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 37,397 RSUs subject to the award shall vest on May 20, 2017, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive August 20, November 20, February 20 and May 20 thereafter, such that the award will be fully vested on February 20, 2021. Reporting Person deferred delivery of shares of Common Stock issuable upon the vesting of RSUs on February 20, 2018. On February 26, 2018, the deferred shares of Common Stock were delivered to the Reporting Person. Shares withheld by the Company to satisfy tax withholding obligations (and the net issuance) is be based on the closing price of the Company's Common Stock in trading on the New York Stock Exchange on February 26, 2018. Read SEC document |
| February 26, 2018 Filed Mar 1, 2018 02:25 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 2,120 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-014759 · doc4.xml · derivative · entry 5 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,801 Underlying: Common Stock · 2,120 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F5 · derivative.exercise_date: 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 63,543 RSUs subject to the award shall vest on February 20, 2016, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive May 20, August 20, November 20, and February 20 thereafter, such that the award will be fully vested on November 20, 2019. Reporting Person deferred delivery of shares of Common Stock issuable upon the vesting of RSUs on February 20, 2018. On February 26, 2018, the deferred shares of Common Stock were delivered to the Reporting Person. Shares withheld by the Company to satisfy tax withholding obligations (and the net issuance) is be based on the closing price of the Company's Common Stock in trading on the New York Stock Exchange on February 26, 2018. F5 · derivative.expiration_date: 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 63,543 RSUs subject to the award shall vest on February 20, 2016, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive May 20, August 20, November 20, and February 20 thereafter, such that the award will be fully vested on November 20, 2019. Reporting Person deferred delivery of shares of Common Stock issuable upon the vesting of RSUs on February 20, 2018. On February 26, 2018, the deferred shares of Common Stock were delivered to the Reporting Person. Shares withheld by the Company to satisfy tax withholding obligations (and the net issuance) is be based on the closing price of the Company's Common Stock in trading on the New York Stock Exchange on February 26, 2018. Read SEC document |
| February 26, 2018 Filed Mar 1, 2018 02:25 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 2,104 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-014759 · doc4.xml · derivative · entry 4 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,875 Underlying: Common Stock · 2,104 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F4 · derivative.exercise_date: 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 70,000 RSUs subject to the award shall vest on August 20, 2015, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2019. Reporting Person deferred delivery of shares of Common Stock issuable upon the vesting of RSUs on February 20, 2018. On February 26, 2018, the deferred shares of Common Stock were delivered to the Reporting Person. Shares withheld by the Company to satisfy tax withholding obligations (and the net issuance) is be based on the closing price of the Company's Common Stock in trading on the New York Stock Exchange on February 26, 2018. F4 · derivative.expiration_date: 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 70,000 RSUs subject to the award shall vest on August 20, 2015, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2019. Reporting Person deferred delivery of shares of Common Stock issuable upon the vesting of RSUs on February 20, 2018. On February 26, 2018, the deferred shares of Common Stock were delivered to the Reporting Person. Shares withheld by the Company to satisfy tax withholding obligations (and the net issuance) is be based on the closing price of the Company's Common Stock in trading on the New York Stock Exchange on February 26, 2018. Read SEC document |
| February 26, 2018 Filed Mar 1, 2018 02:25 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 1,031 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-014759 · doc4.xml · derivative · entry 3 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,124 Underlying: Common Stock · 1,031 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F3 · derivative.exercise_date: 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 33,979 RSUs subject to the award shall vest on August 20, 2014, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2018. Reporting Person deferred delivery of shares of Common Stock issuable upon the vesting of RSUs on February 20, 2018. On February 26, 2018, the deferred shares of Common Stock were delivered to the Reporting Person. Shares withheld by the Company to satisfy tax withholding obligations (and the net issuance) is be based on the closing price of the Company's Common Stock in trading on the New York Stock Exchange on February 26, 2018. F3 · derivative.expiration_date: 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 33,979 RSUs subject to the award shall vest on August 20, 2014, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2018. Reporting Person deferred delivery of shares of Common Stock issuable upon the vesting of RSUs on February 20, 2018. On February 26, 2018, the deferred shares of Common Stock were delivered to the Reporting Person. Shares withheld by the Company to satisfy tax withholding obligations (and the net issuance) is be based on the closing price of the Company's Common Stock in trading on the New York Stock Exchange on February 26, 2018. Read SEC document |
| February 26, 2018 Filed Mar 1, 2018 02:25 UTC | MAXLINEAR, INC MXL · Entity 3882 | Tax withholdingCommon Stock | 9,445 | $23.80 | $224,791.00 |
DisclosureSEC source: 0001209191-18-014759 · doc4.xml · nonDerivative · entry 2 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 338,841 F2 · shares: Includes 3,055 shares of Common Stock withheld by the Company to satisfy tax withholding obligations in connection with the net issuance of shares of Common Stock delivered to the Reporting Person on February 26, 2018 for the 2017 performance period under the Company's Executive Incentive Bonus Plan. The grant of Common Stock was previously reported on the Reporting Person's Form 4 filed February 27, 2018 and subsequently amended on February 28, 2018. Read SEC document |
| February 26, 2018 Filed Mar 1, 2018 02:25 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionCommon Stock | 6,390 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-014759 · doc4.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 348,286 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. Read SEC document |
| February 23, 2018 Filed Feb 27, 2018 21:45 UTC | MAXLINEAR, INC MXL · Entity 3882 | GrantCommon Stock | 6,422 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-013952 · doc4.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 335,479 F1 · shares: Represents shares of Common Stock issued to the reporting person for the 2017 performance period under the Company's Executive Incentive Bonus Plan (the "Bonus Plan"). All shares will be issued pursuant to the Company's 2010 Equity Incentive Plan. Grant amounts were determined based on the award amount earned under the Bonus Plan and the closing price of the Company's Common Stock in trading on the New York Stock Exchange on February 23, 2018. Delivery of shares of Common Stock will occur on February 27, 2018. Shares withheld by the Company to satisfy tax withholding obligations (and the net issuance) will be based on the closing price of the Company's Common Stock in trading on the New York Stock Exchange on February 27, 2018 and will be reported on a subsequently filed Form 4. Read SEC document |
| February 23, 2018 Filed Mar 1, 2018 02:19 UTC Amendment | MAXLINEAR, INC MXL · Entity 3882 | GrantCommon Stock | 6,422 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-014750 · doc4a.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 335,479 F1 · shares: Represents shares of Common Stock issued to the reporting person for the 2017 performance period under the Company's Executive Incentive Bonus Plan (the "Bonus Plan"). All shares will be issued pursuant to the Company's 2010 Equity Incentive Plan. Grant amounts were determined based on the award amount earned under the Bonus Plan and the closing price of the Company's Common Stock in trading on the New York Stock Exchange on February 23, 2018. Delivery of shares of Common Stock will occur on February 26, 2018. Shares withheld by the Company to satisfy tax withholding obligations (and the net issuance) will be based on the closing price of the Company's Common Stock in trading on the New York Stock Exchange on February 26, 2018 and will be reported on a subsequently filed Form 4. F2 · shares: Amendment filed to correct delivery date of shares of Common Stock reported in the Form 4 filed on February 27, 2018. Read SEC document |
| November 20, 2017 Filed Nov 22, 2017 21:09 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 1,219 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-062329 · doc4.xml · derivative · entry 6 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,385 Underlying: Common Stock · 1,219 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F6 · derivative.exercise_date: 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 37,397 RSUs subject to the award shall vest on May 20, 2017, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive August 20, November 20, February 20 and May 20 thereafter, such that the award will be fully vested on February 20, 2021. F6 · derivative.expiration_date: 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 37,397 RSUs subject to the award shall vest on May 20, 2017, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive August 20, November 20, February 20 and May 20 thereafter, such that the award will be fully vested on February 20, 2021. Read SEC document |
| November 20, 2017 Filed Nov 22, 2017 21:09 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 2,072 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-062329 · doc4.xml · derivative · entry 5 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,772 Underlying: Common Stock · 2,072 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F5 · derivative.exercise_date: 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 63,543 RSUs subject to the award shall vest on February 20, 2016, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive May 20, August 20, November 20, and February 20 thereafter, such that the award will be fully vested on November 20, 2019. F5 · derivative.expiration_date: 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 63,543 RSUs subject to the award shall vest on February 20, 2016, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive May 20, August 20, November 20, and February 20 thereafter, such that the award will be fully vested on November 20, 2019. Read SEC document |
| November 20, 2017 Filed Nov 22, 2017 21:09 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 2,282 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-062329 · doc4.xml · derivative · entry 4 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,250 Underlying: Common Stock · 2,282 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F4 · derivative.exercise_date: 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 70,000 RSUs subject to the award shall vest on August 20, 2015, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2019. F4 · derivative.expiration_date: 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 70,000 RSUs subject to the award shall vest on August 20, 2015, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2019. Read SEC document |
| November 20, 2017 Filed Nov 22, 2017 21:09 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 1,108 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-062329 · doc4.xml · derivative · entry 3 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,247 Underlying: Common Stock · 1,108 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F3 · derivative.exercise_date: 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 33,979 RSUs subject to the award shall vest on August 20, 2014, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2018. F3 · derivative.expiration_date: 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 33,979 RSUs subject to the award shall vest on August 20, 2014, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2018. Read SEC document |
| November 20, 2017 Filed Nov 22, 2017 21:09 UTC | MAXLINEAR, INC MXL · Entity 3882 | Tax withholdingCommon Stock | 6,681 | $26.72 | $178,516.32 |
DisclosureSEC source: 0001209191-17-062329 · doc4.xml · nonDerivative · entry 2 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 329,057 Read SEC document |
| November 20, 2017 Filed Nov 22, 2017 21:09 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionCommon Stock | 6,681 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-062329 · doc4.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 335,738 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F2 · balance_after: Includes 172 shares of Common Stock acquired under the Company's 2010 Employee Stock Purchase Plan on November 15, 2017. Read SEC document |
| August 21, 2017 Filed Aug 24, 2017 00:25 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 1,219 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-050026 · doc4.xml · derivative · entry 7 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,722 Underlying: Common Stock · 1,219 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F6 · derivative.exercise_date: 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 37,397 RSUs subject to the award shall vest on May 20, 2017, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive August 20, November 20, February 20 and May 20 thereafter, such that the award will be fully vested on February 20, 2021. F6 · derivative.expiration_date: 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 37,397 RSUs subject to the award shall vest on May 20, 2017, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive August 20, November 20, February 20 and May 20 thereafter, such that the award will be fully vested on February 20, 2021. Read SEC document |
| August 21, 2017 Filed Aug 24, 2017 00:25 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 3,244 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-050026 · doc4.xml · derivative · entry 6 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,953 Underlying: Common Stock · 3,244 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F5 · derivative.exercise_date: 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, ten percent (10%) of the 62,171 RSUs subject to the award will vest on August 20, 2017; twenty percent (20%) of the RSUs subject to the award will vest on August 20, 2018; thirty (30%) of the RSUs subject to the award will vest on August 20, 2019; and forty (40%) of the RSUs subject to the award will vest on August 20, 2020. F5 · derivative.expiration_date: 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, ten percent (10%) of the 62,171 RSUs subject to the award will vest on August 20, 2017; twenty percent (20%) of the RSUs subject to the award will vest on August 20, 2018; thirty (30%) of the RSUs subject to the award will vest on August 20, 2019; and forty (40%) of the RSUs subject to the award will vest on August 20, 2020. Read SEC document |
| August 21, 2017 Filed Aug 24, 2017 00:25 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 2,072 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-050026 · doc4.xml · derivative · entry 5 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,743 Underlying: Common Stock · 2,072 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F4 · derivative.exercise_date: 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 63,543 RSUs subject to the award shall vest on February 20, 2016, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive May 20, August 20, November 20, and February 20 thereafter, such that the award will be fully vested on November 20, 2019. F4 · derivative.expiration_date: 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 63,543 RSUs subject to the award shall vest on February 20, 2016, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive May 20, August 20, November 20, and February 20 thereafter, such that the award will be fully vested on November 20, 2019. Read SEC document |
| August 21, 2017 Filed Aug 24, 2017 00:25 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 2,282 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-050026 · doc4.xml · derivative · entry 4 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,625 Underlying: Common Stock · 2,282 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F3 · derivative.exercise_date: 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 70,000 RSUs subject to the award shall vest on August 20, 2015, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2019. F3 · derivative.expiration_date: 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 70,000 RSUs subject to the award shall vest on August 20, 2015, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2019. Read SEC document |
| August 21, 2017 Filed Aug 24, 2017 00:25 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 1,107 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-050026 · doc4.xml · derivative · entry 3 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,371 Underlying: Common Stock · 1,107 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F2 · derivative.exercise_date: 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 33,979 RSUs subject to the award shall vest on August 20, 2014, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2018. F2 · derivative.expiration_date: 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 33,979 RSUs subject to the award shall vest on August 20, 2014, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2018. Read SEC document |
| August 21, 2017 Filed Aug 24, 2017 00:25 UTC | MAXLINEAR, INC MXL · Entity 3882 | Tax withholdingCommon Stock | 9,924 | $20.67 | $205,129.08 |
DisclosureSEC source: 0001209191-17-050026 · doc4.xml · nonDerivative · entry 2 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 322,759 Read SEC document |
| August 21, 2017 Filed Aug 24, 2017 00:25 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionCommon Stock | 9,924 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-050026 · doc4.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 332,683 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:21 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 878 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-034930 · doc4.xml · derivative · entry 7 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,060 Underlying: Common Stock · 878 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F7 · derivative.exercise_date: 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 37,397 RSUs subject to the award shall vest on May 20, 2017, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive August 20, November 20, February 20 and May 20 thereafter, such that the award will be fully vested on February 20, 2021. F7 · derivative.expiration_date: 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 37,397 RSUs subject to the award shall vest on May 20, 2017, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive August 20, November 20, February 20 and May 20 thereafter, such that the award will be fully vested on February 20, 2021. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:21 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 1,924 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-034930 · doc4.xml · derivative · entry 6 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,715 Underlying: Common Stock · 1,924 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F6 · derivative.exercise_date: 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 63,543 RSUs subject to the award shall vest on February 20, 2016, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive May 20, August 20, November 20, and February 20 thereafter, such that the award will be fully vested on November 20, 2019. F6 · derivative.expiration_date: 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 63,543 RSUs subject to the award shall vest on February 20, 2016, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive May 20, August 20, November 20, and February 20 thereafter, such that the award will be fully vested on November 20, 2019. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:21 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 1,644 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-034930 · doc4.xml · derivative · entry 5 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 1,644 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F5 · derivative.exercise_date: 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 70,000 RSUs subject to the award shall vest on August 20, 2015, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2019. F5 · derivative.expiration_date: 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 70,000 RSUs subject to the award shall vest on August 20, 2015, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2019. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:21 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 798 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-034930 · doc4.xml · derivative · entry 4 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,494 Underlying: Common Stock · 798 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F4 · derivative.exercise_date: 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 33,979 RSUs subject to the award shall vest on August 20, 2014, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2018. F4 · derivative.expiration_date: 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 33,979 RSUs subject to the award shall vest on August 20, 2014, and an additional one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each successive November 20, February 20, May 20, and August 20 thereafter, such that the award shall be fully vested on May 20, 2018. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:21 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 3,452 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-034930 · doc4.xml · derivative · entry 3 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,452 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F3 · derivative.exercise_date: 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, twenty five percent (25%) of the 36,750 RSUs subject to the award shall vest on May 20, 2014, and an additional twenty five percent (25%) of the RSUs subject to the award shall vest on each successive anniversary thereafter, such that the award shall be fully vested on May 20, 2017. F3 · derivative.expiration_date: 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, twenty five percent (25%) of the 36,750 RSUs subject to the award shall vest on May 20, 2014, and an additional twenty five percent (25%) of the RSUs subject to the award shall vest on each successive anniversary thereafter, such that the award shall be fully vested on May 20, 2017. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:21 UTC | MAXLINEAR, INC MXL · Entity 3882 | Tax withholdingCommon Stock | 8,696 | $31.73 | $275,924.08 |
DisclosureSEC source: 0001209191-17-034930 · doc4.xml · nonDerivative · entry 2 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 313,657 Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:21 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionCommon Stock | 8,696 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-034930 · doc4.xml · nonDerivative · entry 1 Spice Adam C. · CIK 0001509421 · VP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 322,353 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F2 · balance_after: Includes 917 shares of Common Stock acquired under the Company's 2010 Employee Stock Purchase Plan on May 15, 2017. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.