Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| IMMERSION CORPIMMR · Entity 6143 | Director | June 12, 2020 | June 16, 2020 |
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.
IMMERSION CORP
Report date June 12, 2020 · Filed June 16, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 22,763 |
Reported balance
After 2020-06-12 transaction · row 1
1 source rowRow 1 · 2020-06-12 · Grant · Acquired 18,543 · Balance 22,763 F1: Represents a grant of restricted stock, 100% of which will vest, subject to continued service through the vesting date, on the earlier of (i) the one-year anniversary of June 12, 2020 or (ii) the date of the Issuer's 2021 annual meeting of stockholders (the "2021 Annual Meeting"), provided that the 2021 Annual Meeting is at least 50 weeks apart from the 2020 annual meeting of stockholders. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a grant of restricted stock, 100% of which will vest, subject to continued service through the vesting date, on the earlier of (i) the one-year anniversary of June 12, 2020 or (ii) the date of the Issuer's 2021 annual meeting of stockholders (the "2021 Annual Meeting"), provided that the 2021 Annual Meeting is at least 50 weeks apart from the 2020 annual meeting of stockholders.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
MAXWELL TECHNOLOGIES INC
Report date May 16, 2019 · Filed May 17, 2019
Section 16 reporting ended · disclosed 2019-05-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-05-16 transaction · row 1
1 source rowRow 1 · 2019-05-16 · Other · Disposed 1,047,713 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of February 3, 2019 (the "Merger Agreement"), by and among Tesla, inc. ("Tesla"), Cambria Acquisition Corp. and the Issuer, each share of common stock was tendered in exchange for 0.0193 of a share of Tesla common stock, together with cash in lieu of any fractional shares of Tesla common stock. Upon consummation of the tender offer, the Reporting Person received Transaction Consideration of 20,220 shares of Tesla common stock and $211.70 in lieu of fractional shares of Tesla common stock. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-05-16 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-05-16 · Disposition to issuer · Disposed 68,710 · Balance 0 F2: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. This award represents RSUs received under the short-term incentive bonus plan which are fully vested upon grant. The award was assumed by Tesla in the merger and converted into fully vested restricted stock units representing a right to receive an aggregate of 1,326 shares of the Common Stock of Tesla. F3: These units do not expire. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-05-16 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-05-16 · Disposition to issuer · Disposed 77,500 · Balance 0 F4: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. The RSU, which vests in annual installments over 4 years beginning February 20, 2019, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 1,495 shares of the Common Stock of Tesla on the same terms and conditions (including with respect to vesting and exercisability) as were applicable to the RSU prior to the consummation of the merger. F3: These units do not expire. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-05-16 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-05-16 · Disposition to issuer · Disposed 69,000 · Balance 0 F6: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. The RSU, which vests in annual installments over 4 years beginning February 20, 2018, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 1,331 shares of the Common Stock of Tesla on the same terms and conditions (including with respect to vesting and exercisability) as were applicable to the RSU prior to the consummation of the merger. F3: These units do not expire. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-05-16 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-05-16 · Disposition to issuer · Disposed 30,970 · Balance 0 F8: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. This award represents restricted stock units with vesting subject to the achievement of specific performance targets, which have been certified as achieved by the Company's compensation committee. The award was assumed by Tesla in the merger and converted into fully vested restricted stock units representing a right to receive an aggregate of 597 shares of the Common Stock of Tesla. F3: These units do not expire. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-05-16 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2019-05-16 · Disposition to issuer · Disposed 46,224 · Balance 0 F9: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. The RSU, which vests in annual installments over 4 years beginning January 15, 2017, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 892 shares of the Common Stock of Tesla on the same terms and conditions (including with respect to vesting and exercisability) as were applicable to the RSU prior to the consummation of the merger. F3: These units do not expire. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-05-16 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2019-05-16 · Disposition to issuer · Disposed 12,790 · Balance 0 F10: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. The RSU, which vests in annual installments over 4 years beginning March 13, 2016, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 246 shares of the Common Stock of Tesla on the same terms and conditions (including with respect to vesting and exercisability) as were applicable to the RSU prior to the consummation of the merger. F3: These units do not expire. |
| Market Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-05-16 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-05-16 · Disposition to issuer · Disposed 116,250 · Balance 0 F5: Each market stock unit (MSU) represents a right to receive one share of the Issuer's common stock. The MSUs vest based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. The amount included in the table above represents the target number of shares which vest upon a change in control, and therefore vest in connection with the Merger Agreement and are assumed by Tesla in the merger and converted into fully vested restricted stock units representing a right to receive an aggregate of 2,243 shares of the Common Stock of Tesla. F3: These units do not expire. |
| Market Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-05-16 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-05-16 · Disposition to issuer · Disposed 131,100 · Balance 0 F7: Each market stock unit (MSU) represents a right to receive one share of the Issuer's common stock. The MSUs vest based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. The amount included in the table above represents the target number of shares which vest upon a change in control, and therefore vest in connection with the Merger Agreement and are assumed by Tesla in the merger and converted into fully vested restricted stock units representing a right to receive an aggregate of 2,530 shares of the Common Stock of Tesla. F3: These units do not expire. |
| Employee Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.33 · Expires 2025-03-13 | Direct | 0 |
Reported balance
After 2019-05-16 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2019-05-16 · Disposition to issuer · Disposed 98,167 · Balance 0 F11: Option becomes exercisable in annual installments over 4 years beginning March 13, 2016 as long as holder remains in service to the Company. The option was assumed by Tesla in the merger and replaced with an option to purchase 1,894 shares of Tesla Common Stock with an exercise price of $379.80 per share. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger, dated as of February 3, 2019 (the "Merger Agreement"), by and among Tesla, inc. ("Tesla"), Cambria Acquisition Corp. and the Issuer, each share of common stock was tendered in exchange for 0.0193 of a share of Tesla common stock, together with cash in lieu of any fractional shares of Tesla common stock. Upon consummation of the tender offer, the Reporting Person received Transaction Consideration of 20,220 shares of Tesla common stock and $211.70 in lieu of fractional shares of Tesla common stock.
F2: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. This award represents RSUs received under the short-term incentive bonus plan which are fully vested upon grant. The award was assumed by Tesla in the merger and converted into fully vested restricted stock units representing a right to receive an aggregate of 1,326 shares of the Common Stock of Tesla.
F3: These units do not expire.
F4: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. The RSU, which vests in annual installments over 4 years beginning February 20, 2019, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 1,495 shares of the Common Stock of Tesla on the same terms and conditions (including with respect to vesting and exercisability) as were applicable to the RSU prior to the consummation of the merger.
F5: Each market stock unit (MSU) represents a right to receive one share of the Issuer's common stock. The MSUs vest based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. The amount included in the table above represents the target number of shares which vest upon a change in control, and therefore vest in connection with the Merger Agreement and are assumed by Tesla in the merger and converted into fully vested restricted stock units representing a right to receive an aggregate of 2,243 shares of the Common Stock of Tesla.
F6: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. The RSU, which vests in annual installments over 4 years beginning February 20, 2018, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 1,331 shares of the Common Stock of Tesla on the same terms and conditions (including with respect to vesting and exercisability) as were applicable to the RSU prior to the consummation of the merger.
F7: Each market stock unit (MSU) represents a right to receive one share of the Issuer's common stock. The MSUs vest based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. The amount included in the table above represents the target number of shares which vest upon a change in control, and therefore vest in connection with the Merger Agreement and are assumed by Tesla in the merger and converted into fully vested restricted stock units representing a right to receive an aggregate of 2,530 shares of the Common Stock of Tesla.
F8: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. This award represents restricted stock units with vesting subject to the achievement of specific performance targets, which have been certified as achieved by the Company's compensation committee. The award was assumed by Tesla in the merger and converted into fully vested restricted stock units representing a right to receive an aggregate of 597 shares of the Common Stock of Tesla.
F9: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. The RSU, which vests in annual installments over 4 years beginning January 15, 2017, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 892 shares of the Common Stock of Tesla on the same terms and conditions (including with respect to vesting and exercisability) as were applicable to the RSU prior to the consummation of the merger.
F10: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. The RSU, which vests in annual installments over 4 years beginning March 13, 2016, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 246 shares of the Common Stock of Tesla on the same terms and conditions (including with respect to vesting and exercisability) as were applicable to the RSU prior to the consummation of the merger.
F11: Option becomes exercisable in annual installments over 4 years beginning March 13, 2016 as long as holder remains in service to the Company. The option was assumed by Tesla in the merger and replaced with an option to purchase 1,894 shares of Tesla Common Stock with an exercise price of $379.80 per share.
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 |
|---|---|---|---|---|---|---|
| June 12, 2020 Filed Jun 16, 2020 20:07 UTC | IMMERSION CORP IMMR · Entity 6143 | GrantCommon Stock | 18,543 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-009519 · wf-form4_159233805668377.xml · nonDerivative · entry 1 Fink Franz · CIK 0001296307 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,763 F1 · shares: Represents a grant of restricted stock, 100% of which will vest, subject to continued service through the vesting date, on the earlier of (i) the one-year anniversary of June 12, 2020 or (ii) the date of the Issuer's 2021 annual meeting of stockholders (the "2021 Annual Meeting"), provided that the 2021 Annual Meeting is at least 50 weeks apart from the 2020 annual meeting of stockholders. Read SEC document |
| March 09, 2020 Filed Mar 27, 2020 23:33 UTC | IMMERSION CORP IMMR · Entity 6143 | GrantCommon Stock | 4,220 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-004245 · wf-form4_158535200982695.xml · nonDerivative · entry 1 Fink Franz · CIK 0001296307 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,220 F1 · shares: Represents a grant of restricted stock, 100% of which will vest, subject to continued service through the vesting date, on the earlier of (i) the one-year anniversary of June 14, 2020 or (ii) the date of the Issuer's 2020 annual meeting of stockholders (the "2020 Annual Meeting"), provided that the 2020 Annual Meeting is at least 50 weeks apart from the 2019 annual meeting of stockholders. Read SEC document |
| May 16, 2019 Filed May 17, 2019 16:38 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Disposition to issuerEmployee Stock Options (Right to Buy) · Derivative | 98,167 | $0.00 Strike: $7.33 | $0.00 |
DisclosureSEC source: 0001209191-19-030968 · doc4.xml · derivative · entry 10 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 98,167 shares Expires 2025-03-13 F11 · derivative.exercise_date: Option becomes exercisable in annual installments over 4 years beginning March 13, 2016 as long as holder remains in service to the Company. The option was assumed by Tesla in the merger and replaced with an option to purchase 1,894 shares of Tesla Common Stock with an exercise price of $379.80 per share. Read SEC document |
| May 16, 2019 Filed May 17, 2019 16:38 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Disposition to issuerRestricted Stock Units · Derivative | 12,790 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-030968 · doc4.xml · derivative · entry 9 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,790 shares Expires not disclosed F10 · derivative.exercise_price: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. The RSU, which vests in annual installments over 4 years beginning March 13, 2016, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 246 shares of the Common Stock of Tesla on the same terms and conditions (including with respect to vesting and exercisability) as were applicable to the RSU prior to the consummation of the merger. F10 · derivative.exercise_date: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. The RSU, which vests in annual installments over 4 years beginning March 13, 2016, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 246 shares of the Common Stock of Tesla on the same terms and conditions (including with respect to vesting and exercisability) as were applicable to the RSU prior to the consummation of the merger. F3 · derivative.expiration_date: These units do not expire. Read SEC document |
| May 16, 2019 Filed May 17, 2019 16:38 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Disposition to issuerRestricted Stock Units · Derivative | 46,224 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-030968 · doc4.xml · derivative · entry 8 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 46,224 shares Expires not disclosed F9 · derivative.exercise_price: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. The RSU, which vests in annual installments over 4 years beginning January 15, 2017, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 892 shares of the Common Stock of Tesla on the same terms and conditions (including with respect to vesting and exercisability) as were applicable to the RSU prior to the consummation of the merger. F9 · derivative.exercise_date: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. The RSU, which vests in annual installments over 4 years beginning January 15, 2017, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 892 shares of the Common Stock of Tesla on the same terms and conditions (including with respect to vesting and exercisability) as were applicable to the RSU prior to the consummation of the merger. F3 · derivative.expiration_date: These units do not expire. Read SEC document |
| May 16, 2019 Filed May 17, 2019 16:38 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Disposition to issuerRestricted Stock Units · Derivative | 30,970 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-030968 · doc4.xml · derivative · entry 7 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,970 shares Expires not disclosed F8 · derivative.exercise_price: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. This award represents restricted stock units with vesting subject to the achievement of specific performance targets, which have been certified as achieved by the Company's compensation committee. The award was assumed by Tesla in the merger and converted into fully vested restricted stock units representing a right to receive an aggregate of 597 shares of the Common Stock of Tesla. F8 · derivative.exercise_date: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. This award represents restricted stock units with vesting subject to the achievement of specific performance targets, which have been certified as achieved by the Company's compensation committee. The award was assumed by Tesla in the merger and converted into fully vested restricted stock units representing a right to receive an aggregate of 597 shares of the Common Stock of Tesla. F3 · derivative.expiration_date: These units do not expire. Read SEC document |
| May 16, 2019 Filed May 17, 2019 16:38 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Disposition to issuerMarket Stock Units · Derivative | 131,100 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-030968 · doc4.xml · derivative · entry 6 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 131,100 shares Expires not disclosed F7 · derivative.exercise_price: Each market stock unit (MSU) represents a right to receive one share of the Issuer's common stock. The MSUs vest based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. The amount included in the table above represents the target number of shares which vest upon a change in control, and therefore vest in connection with the Merger Agreement and are assumed by Tesla in the merger and converted into fully vested restricted stock units representing a right to receive an aggregate of 2,530 shares of the Common Stock of Tesla. F7 · derivative.exercise_date: Each market stock unit (MSU) represents a right to receive one share of the Issuer's common stock. The MSUs vest based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. The amount included in the table above represents the target number of shares which vest upon a change in control, and therefore vest in connection with the Merger Agreement and are assumed by Tesla in the merger and converted into fully vested restricted stock units representing a right to receive an aggregate of 2,530 shares of the Common Stock of Tesla. F3 · derivative.expiration_date: These units do not expire. Read SEC document |
| May 16, 2019 Filed May 17, 2019 16:38 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Disposition to issuerRestricted Stock Units · Derivative | 69,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-030968 · doc4.xml · derivative · entry 5 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 69,000 shares Expires not disclosed F6 · derivative.exercise_price: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. The RSU, which vests in annual installments over 4 years beginning February 20, 2018, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 1,331 shares of the Common Stock of Tesla on the same terms and conditions (including with respect to vesting and exercisability) as were applicable to the RSU prior to the consummation of the merger. F6 · derivative.exercise_date: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. The RSU, which vests in annual installments over 4 years beginning February 20, 2018, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 1,331 shares of the Common Stock of Tesla on the same terms and conditions (including with respect to vesting and exercisability) as were applicable to the RSU prior to the consummation of the merger. F3 · derivative.expiration_date: These units do not expire. Read SEC document |
| May 16, 2019 Filed May 17, 2019 16:38 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Disposition to issuerMarket Stock Units · Derivative | 116,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-030968 · doc4.xml · derivative · entry 4 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 116,250 shares Expires not disclosed F5 · derivative.exercise_price: Each market stock unit (MSU) represents a right to receive one share of the Issuer's common stock. The MSUs vest based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. The amount included in the table above represents the target number of shares which vest upon a change in control, and therefore vest in connection with the Merger Agreement and are assumed by Tesla in the merger and converted into fully vested restricted stock units representing a right to receive an aggregate of 2,243 shares of the Common Stock of Tesla. F5 · derivative.exercise_date: Each market stock unit (MSU) represents a right to receive one share of the Issuer's common stock. The MSUs vest based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. The amount included in the table above represents the target number of shares which vest upon a change in control, and therefore vest in connection with the Merger Agreement and are assumed by Tesla in the merger and converted into fully vested restricted stock units representing a right to receive an aggregate of 2,243 shares of the Common Stock of Tesla. F3 · derivative.expiration_date: These units do not expire. Read SEC document |
| May 16, 2019 Filed May 17, 2019 16:38 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Disposition to issuerRestricted Stock Units · Derivative | 77,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-030968 · doc4.xml · derivative · entry 3 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 77,500 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. The RSU, which vests in annual installments over 4 years beginning February 20, 2019, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 1,495 shares of the Common Stock of Tesla on the same terms and conditions (including with respect to vesting and exercisability) as were applicable to the RSU prior to the consummation of the merger. F4 · derivative.exercise_date: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. The RSU, which vests in annual installments over 4 years beginning February 20, 2019, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 1,495 shares of the Common Stock of Tesla on the same terms and conditions (including with respect to vesting and exercisability) as were applicable to the RSU prior to the consummation of the merger. F3 · derivative.expiration_date: These units do not expire. Read SEC document |
| May 16, 2019 Filed May 17, 2019 16:38 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Disposition to issuerRestricted Stock Units · Derivative | 68,710 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-030968 · doc4.xml · derivative · entry 2 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 68,710 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. This award represents RSUs received under the short-term incentive bonus plan which are fully vested upon grant. The award was assumed by Tesla in the merger and converted into fully vested restricted stock units representing a right to receive an aggregate of 1,326 shares of the Common Stock of Tesla. F2 · derivative.exercise_date: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. This award represents RSUs received under the short-term incentive bonus plan which are fully vested upon grant. The award was assumed by Tesla in the merger and converted into fully vested restricted stock units representing a right to receive an aggregate of 1,326 shares of the Common Stock of Tesla. F3 · derivative.expiration_date: These units do not expire. Read SEC document |
| May 16, 2019 Filed May 17, 2019 16:38 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | OtherCommon Stock | 1,047,713 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-030968 · doc4.xml · nonDerivative · entry 1 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of February 3, 2019 (the "Merger Agreement"), by and among Tesla, inc. ("Tesla"), Cambria Acquisition Corp. and the Issuer, each share of common stock was tendered in exchange for 0.0193 of a share of Tesla common stock, together with cash in lieu of any fractional shares of Tesla common stock. Upon consummation of the tender offer, the Reporting Person received Transaction Consideration of 20,220 shares of Tesla common stock and $211.70 in lieu of fractional shares of Tesla common stock. Read SEC document |
| February 20, 2019 Filed Feb 22, 2019 16:21 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | GrantRestricted Stock Units · Derivative | 68,710 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-012559 · doc4.xml · derivative · entry 1 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,710 Underlying: Common Stock · 68,710 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. F3 · price: These units were received as a grant or award for no consideration. F2 · derivative.exercise_date: This acquisition represents restricted stock units received under the Company's short-term incentive bonus plan. Restricted stock units received under the short-term incentive bonus plan are fully vested upon grant. F2 · derivative.expiration_date: This acquisition represents restricted stock units received under the Company's short-term incentive bonus plan. Restricted stock units received under the short-term incentive bonus plan are fully vested upon grant. Read SEC document |
| August 10, 2018 Filed Aug 13, 2018 16:04 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | PurchaseCommon Stock | 400,000 | $3.25 | $1,300,000.00 |
DisclosureSEC source: 0001209191-18-046393 · doc4.xml · nonDerivative · entry 1 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,047,713 F1 · shares: The shares of common stock reported in this Form were purchased in the Company's underwritten public offering which closed on August 10, 2018. Read SEC document |
| May 11, 2018 Filed May 15, 2018 16:51 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionRestricted Stock Units · Derivative | 10,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-030248 · doc4.xml · derivative · entry 3 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 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 right to receive one share of the Issuer's common stock. F1 · price: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. F3 · derivative.exercise_date: Award vests in annual installments over 4 years as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date. F4 · derivative.expiration_date: These units do not expire. Read SEC document |
| May 11, 2018 Filed May 15, 2018 16:51 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Tax withholdingCommon Stock | 3,603 | $5.55 | $19,996.65 |
DisclosureSEC source: 0001209191-18-030248 · doc4.xml · nonDerivative · entry 2 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 647,713 F2 · shares: These shares were withheld in order to meet the tax withholding obligations of the award holder in connection with the vesting of the holder's restricted stock unit awards. Read SEC document |
| May 11, 2018 Filed May 15, 2018 16:51 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-030248 · doc4.xml · nonDerivative · entry 1 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 651,316 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 · price: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. Read SEC document |
| March 13, 2018 Filed Mar 14, 2018 21:51 UTC Amendment | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionRestricted Stock Units · Derivative | 12,790 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-019752 · doc4a.xml · derivative · entry 3 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,790 Underlying: Common Stock · 12,790 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 right to receive one share of the Issuer's common stock. F1 · price: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. F3 · derivative.exercise_date: Award vests in annual installments over 4 years as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date. F4 · derivative.expiration_date: These units do not expire. Read SEC document |
| March 13, 2018 Filed Mar 14, 2018 21:51 UTC Amendment | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Tax withholdingCommon Stock | 4,422 | $5.95 | $26,310.90 |
DisclosureSEC source: 0001209191-18-019752 · doc4a.xml · nonDerivative · entry 2 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 641,316 F2 · shares: These shares were withheld in order to meet the tax withholding obligations of the award holder in connection with the vesting of the holder's restricted stock unit awards. Read SEC document |
| March 13, 2018 Filed Mar 14, 2018 21:51 UTC Amendment | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionCommon Stock | 12,790 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-019752 · doc4a.xml · nonDerivative · entry 1 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 645,738 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 · price: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. Read SEC document |
| March 13, 2018 Filed Mar 14, 2018 16:35 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionRestricted Stock Units · Derivative | 12,790 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-019570 · doc4.xml · derivative · entry 3 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,790 Underlying: Common Stock · 12,790 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 right to receive one share of the Issuer's common stock. F1 · price: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. F3 · derivative.exercise_date: Award vests in annual installments over 4 years as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date. F4 · derivative.expiration_date: These units do not expire. Read SEC document |
| March 13, 2018 Filed Mar 14, 2018 16:35 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | SaleCommon Stock | 4,502 | $5.95 | $26,786.90 |
DisclosureSEC source: 0001209191-18-019570 · doc4.xml · nonDerivative · entry 2 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 641,236 F2 · shares: These shares were sold in the open market in order to meet the tax withholding obligations of the award holder in connection with the vesting of the holder's restricted stock unit award. Read SEC document |
| March 13, 2018 Filed Mar 14, 2018 16:35 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionCommon Stock | 12,790 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-019570 · doc4.xml · nonDerivative · entry 1 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 645,738 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 · price: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. Read SEC document |
| February 27, 2018 Filed Feb 27, 2018 19:23 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | GrantMarket Stock Units · Derivative | 232,500 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-014244 · doc4.xml · derivative · entry 2 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,500 Underlying: Common Stock · 232,500 shares Expires not disclosed F4 · derivative.exercise_price: Each market stock unit represents a right to receive one share of the Issuer's common stock. F3 · price: These units were received as a grant or award for no consideration. F5 · derivative.exercise_date: This award represents market stock units with vesting based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. The amount included in the table above represents the maximum number of shares that could vest under the grant. F5 · derivative.expiration_date: This award represents market stock units with vesting based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. The amount included in the table above represents the maximum number of shares that could vest under the grant. Read SEC document |
| February 27, 2018 Filed Feb 27, 2018 19:23 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | GrantRestricted Stock Units · Derivative | 77,500 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-014244 · doc4.xml · derivative · entry 1 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,500 Underlying: Common Stock · 77,500 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. F3 · price: These units were received as a grant or award for no consideration. F2 · derivative.exercise_date: Award vests in annual installments over 4 years as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date. F2 · derivative.expiration_date: Award vests in annual installments over 4 years as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 20:45 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionMarket Stock Units · Derivative | 6,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-012773 · doc4.xml · derivative · entry 8 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 269,100 Underlying: Common Stock · 6,900 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. F2 · derivative.exercise_price: Each market stock unit represents a right to receive one share of the Issuer's common stock. F2 · price: Each market stock unit represents a right to receive one share of the Issuer's common stock. F7 · derivative.exercise_date: This award represents market stock units with vesting based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. A portion of this award vested on February 20, 2018. The amount included in the table above represents the maximum number of shares that could vest under the grant. F7 · derivative.expiration_date: This award represents market stock units with vesting based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. A portion of this award vested on February 20, 2018. The amount included in the table above represents the maximum number of shares that could vest under the grant. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 20:45 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionRestricted Stock Units · Derivative | 23,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-012773 · doc4.xml · derivative · entry 7 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,000 Underlying: Common Stock · 23,000 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 right to receive one share of the Issuer's common stock. F1 · price: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. F5 · derivative.exercise_date: Award vests in annual installments over 4 years as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date. F6 · derivative.expiration_date: These units do not expire. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 20:45 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionRestricted Stock Units · Derivative | 23,113 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-012773 · doc4.xml · derivative · entry 6 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,224 Underlying: Common Stock · 23,113 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 right to receive one share of the Issuer's common stock. F1 · price: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. F5 · derivative.exercise_date: Award vests in annual installments over 4 years as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date. F6 · derivative.expiration_date: These units do not expire. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 20:45 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Tax withholdingCommon Stock | 50,337 | $5.89 | $296,484.93 |
DisclosureSEC source: 0001209191-18-012773 · doc4.xml · nonDerivative · entry 5 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 632,948 F4 · shares: These shares were withheld in order to meet the tax withholding obligations of the award holder in connection with the vesting of the holder's restricted stock unit awards and market stock unit awards as well as tax withholding obligations related to shares received under the Company's short-term incentive bonus plan. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 20:45 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | GrantCommon Stock | 91,680 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-012773 · doc4.xml · nonDerivative · entry 4 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 683,285 F3 · shares: This acquisition represents shares received under the Company's short-term incentive bonus plan. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 20:45 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionCommon Stock | 6,900 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-012773 · doc4.xml · nonDerivative · entry 3 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 591,605 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. F2 · price: Each market stock unit represents a right to receive one share of the Issuer's common stock. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 20:45 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionCommon Stock | 23,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-012773 · doc4.xml · nonDerivative · entry 2 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 584,705 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 · price: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 20:45 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionCommon Stock | 23,113 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-012773 · doc4.xml · nonDerivative · entry 1 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 561,705 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 · price: Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock. Read SEC document |
| November 14, 2017 Filed Nov 15, 2017 16:33 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | PurchaseCommon Stock | 124,820 | $5.13 | $640,189.30 |
DisclosureSEC source: 0001209191-17-060906 · doc4.xml · nonDerivative · entry 2 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 538,592 Read SEC document |
| November 13, 2017 Filed Nov 15, 2017 16:33 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | PurchaseCommon Stock | 105,180 | $4.80 | $505,011.25 |
DisclosureSEC source: 0001209191-17-060906 · doc4.xml · nonDerivative · entry 1 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 413,772 Read SEC document |
| July 13, 2017 Filed Jul 17, 2017 16:34 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | GrantMarket Stock Units · Derivative | 118,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-045349 · doc4.xml · derivative · entry 2 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 276,000 Underlying: Common Stock · 118,000 shares Expires not disclosed F2 · derivative.exercise_price: Each market stock unit represents a right to receive one share of the Issuer's common stock. F4 · price: These units were received as a grant or award for no consideration. F3 · derivative.exercise_date: This award represents market stock units with vesting based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. The amount included in the table above represents a portion of the grant originally made to the Reporting Person on March 2, 2017, but was contingent upon the approval of an amendment to the Company's equity incentive plan at our 2017 annual meeting of stockholders. The market stock units included in the table above will only be eligible to vest if performance is above-target. F3 · derivative.expiration_date: This award represents market stock units with vesting based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. The amount included in the table above represents a portion of the grant originally made to the Reporting Person on March 2, 2017, but was contingent upon the approval of an amendment to the Company's equity incentive plan at our 2017 annual meeting of stockholders. The market stock units included in the table above will only be eligible to vest if performance is above-target. Read SEC document |
| July 13, 2017 Filed Jul 17, 2017 16:34 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | GrantCommon Stock | 42,662 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-045349 · doc4.xml · nonDerivative · entry 1 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 308,592 F1 · shares: This acquisition represents shares received under the Company's short-term incentive bonus plan. Read SEC document |
| May 12, 2017 Filed May 16, 2017 18:34 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionRestricted Stock Units · Derivative | 23,113 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001209191-17-032873 · doc4.xml · derivative · entry 6 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,337 Underlying: Common Stock · 23,113 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: These units do not carry a conversion price. F1 · price: These units do not carry a conversion price. F2 · derivative.exercise_date: Award vests in annual installments over 4 years as long as holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date. F3 · derivative.expiration_date: These units do not expire. Read SEC document |
| May 12, 2017 Filed May 16, 2017 18:34 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionRestricted Stock Units · Derivative | 12,790 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001209191-17-032873 · doc4.xml · derivative · entry 5 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,580 Underlying: Common Stock · 12,790 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: These units do not carry a conversion price. F1 · price: These units do not carry a conversion price. F2 · derivative.exercise_date: Award vests in annual installments over 4 years as long as holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date. F3 · derivative.expiration_date: These units do not expire. Read SEC document |
| May 12, 2017 Filed May 16, 2017 18:34 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionRestricted Stock Units · Derivative | 10,000 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001209191-17-032873 · doc4.xml · derivative · entry 4 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 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: These units do not carry a conversion price. F1 · price: These units do not carry a conversion price. F2 · derivative.exercise_date: Award vests in annual installments over 4 years as long as holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date. F3 · derivative.expiration_date: These units do not expire. Read SEC document |
| May 12, 2017 Filed May 16, 2017 18:34 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionCommon Stock | 23,113 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-032873 · doc4.xml · nonDerivative · entry 3 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 265,930 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 · price: These units do not carry a conversion price. Read SEC document |
| May 12, 2017 Filed May 16, 2017 18:34 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionCommon Stock | 12,790 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-032873 · doc4.xml · nonDerivative · entry 2 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 242,817 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 · price: These units do not carry a conversion price. Read SEC document |
| May 12, 2017 Filed May 16, 2017 18:34 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-032873 · doc4.xml · nonDerivative · entry 1 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,027 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 · price: These units do not carry a conversion price. Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 20:02 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | GrantMarket Stock Units · Derivative | 158,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-018518 · doc4.xml · derivative · entry 5 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,000 Underlying: Common Stock · 158,000 shares Expires not disclosed F2 · derivative.exercise_price: Each market stock unit represents a right to receive one share of the Issuer's common stock. F4 · price: These units were received as a grant or award for no consideration. F8 · derivative.exercise_date: This award represents market stock units with vesting based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. The amount included in the table above represents the maximum number of shares that could vest under the grant. An additional grant of 118,000 market stock units for above-target performance was also approved by the Company's compensation committee, but is contingent upon and subject to approval of an amendment to the Company's equity incentive plan at our 2017 annual meeting of stockholders. F8 · derivative.expiration_date: This award represents market stock units with vesting based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. The amount included in the table above represents the maximum number of shares that could vest under the grant. An additional grant of 118,000 market stock units for above-target performance was also approved by the Company's compensation committee, but is contingent upon and subject to approval of an amendment to the Company's equity incentive plan at our 2017 annual meeting of stockholders. Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 20:02 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | GrantRestricted Stock Units · Derivative | 92,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-018518 · doc4.xml · derivative · entry 4 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,000 Underlying: Common Stock · 92,000 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a right to receive one share of the Issuer's common stock. F4 · price: These units were received as a grant or award for no consideration. F7 · derivative.exercise_date: Award vests in annual installments over 4 years as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date. F7 · derivative.expiration_date: Award vests in annual installments over 4 years as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date. Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 20:02 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Disposition to issuerRestricted Stock Units · Derivative | 80,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-018518 · doc4.xml · derivative · entry 3 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 80,000 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a right to receive one share of the Issuer's common stock. F4 · price: These units were received as a grant or award for no consideration. F6 · derivative.exercise_date: This disposition represents restricted stock units with vesting subject to the achievement of Company performance targets by December 31, 2016. The amount included in the table above represents the maximum number of shares that could have vested under the grant. As the performance targets were not achieved, the restricted stock units were cancelled. F6 · derivative.expiration_date: This disposition represents restricted stock units with vesting subject to the achievement of Company performance targets by December 31, 2016. The amount included in the table above represents the maximum number of shares that could have vested under the grant. As the performance targets were not achieved, the restricted stock units were cancelled. Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 20:02 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionMarket Stock Units · Derivative | 1,983 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-018518 · doc4.xml · derivative · entry 2 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,917 Underlying: Common Stock · 1,983 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. F2 · derivative.exercise_price: Each market stock unit represents a right to receive one share of the Issuer's common stock. F4 · price: These units were received as a grant or award for no consideration. F3 · derivative.exercise_date: This award represents market stock units with vesting based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. A portion of this award vested on March 2, 2017. The amount included in the table above represents the maximum number of shares that could vest under the grant. F3 · derivative.expiration_date: This award represents market stock units with vesting based on performance of the Company's common stock compared to the Nasdaq Composite Index over a period of three years. Depending on the level of performance actually achieved, the number of shares that may vest under this award will vary. A portion of this award vested on March 2, 2017. The amount included in the table above represents the maximum number of shares that could vest under the grant. Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 20:02 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionCommon Stock | 1,983 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-018518 · doc4.xml · nonDerivative · entry 1 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,027 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 · price: These units do not carry a conversion price. Read SEC document |
| November 02, 2016 Filed Nov 4, 2016 16:03 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionRestricted Stock Units · Derivative | 15,254 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-148399 · doc4.xml · derivative · entry 2 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,970 Underlying: Common Stock · 15,254 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: These units do not carry a conversion price. F3 · price: These units were received as a grant or award for no consideration. F2 · derivative.exercise_date: This award represents restricted stock units with vesting subject to the achievement of Company performance targets. 33% of the award vested upon achievement of the first performance condition on November 2, 2016. The vesting of the remaining 67% of the award is subject to the achievement of a performance condition by December 31, 2019. Depending on the level of performance actually achieved, the number of shares that may vest under this grant will vary. The amount included in the table above represents the maximum number of shares that could vest under the grant. F2 · derivative.expiration_date: This award represents restricted stock units with vesting subject to the achievement of Company performance targets. 33% of the award vested upon achievement of the first performance condition on November 2, 2016. The vesting of the remaining 67% of the award is subject to the achievement of a performance condition by December 31, 2019. Depending on the level of performance actually achieved, the number of shares that may vest under this grant will vary. The amount included in the table above represents the maximum number of shares that could vest under the grant. Read SEC document |
| November 02, 2016 Filed Nov 4, 2016 16:03 UTC | MAXWELL TECHNOLOGIES INC MXWL · Entity 157477 | Exercise / conversionCommon Stock | 15,254 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-148399 · doc4.xml · nonDerivative · entry 1 Fink Franz · CIK 0001296307 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 218,044 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 · price: These units do not carry a conversion price. 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.