person · Reporting owner

Lyle David

Disclosed activity across 4 companies

Tapewire entity: 70181
SEC CIK: 0001416939

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
AIRGAIN INCAIRG · Entity 552	Chief Financial Officer	February 01, 2022	February 03, 2022
MITEK SYSTEMS INCMITK · Entity 5119	Chief Financial Officer	January 02, 2026	January 06, 2026
SURGALIGN HOLDINGS, INC.SRGA · Entity 109633	Chief Financial Officer	September 15, 2023	September 18, 2023

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.

AIRGAIN INC

Report date February 01, 2022 · Filed February 03, 2022

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.46 · Expires 2032-01-31	Direct	23,079	Reported balance After 2022-02-01 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2022-02-01 · Grant · Acquired 23,079 · Balance 23,079 F1: The option is exercisable as it vests. 25% of the shares subject to the option vest on February 1, 2023, and 1/48th of the total number of shares subject to the option vest monthly thereafter, subject to the reporting person's continued service to the Issuer through each such vesting date. The option may accelerate under certain conditions pursuant to the reporting person's employment agreement.

Filing footnotes · ownership attribution and instrument terms

F1: The option is exercisable as it vests. 25% of the shares subject to the option vest on February 1, 2023, and 1/48th of the total number of shares subject to the option vest monthly thereafter, subject to the reporting person's continued service to the Issuer through each such vesting date. The option may accelerate under certain conditions pursuant to the reporting person's employment agreement.

MITEK SYSTEMS INC

Report date January 02, 2026 · Filed January 06, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	192,614	Ending reported balance After 2026-01-02 transaction · row 2 2 source rows · reconciled sequence Row 1 · 2026-01-02 · Exercise / conversion · Acquired 12,958 · Balance 207,492 F1: Performance restricted stock units ("Performance RSUs") convert into common stock on a one-for-one basis. Row 2 · 2026-01-02 · Tax withholding · Disposed 14,878 · Balance 192,614 F2: Represents the disposition of shares that were withheld by the Issuer to pay withholding taxes upon the vesting of 12,958 Performance RSUs and 14,546 restricted stock units.
Performance Restricted Stock UnitsSEC Table II · derivative / convertible security	Direct	177,386	Reported balance After 2026-01-02 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2026-01-02 · Exercise / conversion · Disposed 12,958 · Balance 177,386 F3: On January 2, 2024, the reporting person was granted Performance RSUs, which vest based upon the achievement of certain performance criteria over the three year period following the date of grant (each such year, a "Performance Period"), with up to 33% of such units vesting (on each anniversary of the date of grant) with respect to each applicable Performance Period. For the January 2, 2026 vesting, approximately 67% of the target shares vested based on the achievement of the performance criteria described below. F4: The annual performance criteria for each annual Performance Period is for the % increase in value of Mitek's common stock to meet or exceed the % increase in value of the Russell 2000 Index over the applicable annual Performance Period, based on a hypothetical investment in both Mitek's common stock and the Russell 2000 Index with a purchase price equal to the average closing price of each for the 20-trading days immediately preceding the start of the applicable Performance Period. At the end of the applicable Performance Period, the value of the hypothetical investments is determined by assuming the sale of each based on the average closing price of each from the immediately preceding 20-trading days. The % change is determined by comparing the increase in value to the starting investment. F5: Additionally, a portion of the Performance RSUs may vest during a later Performance Period if the cumulative % increase in value of Mitek common stock measured over the current and all previous Performance Periods exceeds the cumulative % increase in value of the Russell 2000 Index.

Filing footnotes · ownership attribution and instrument terms

F1: Performance restricted stock units ("Performance RSUs") convert into common stock on a one-for-one basis.

F2: Represents the disposition of shares that were withheld by the Issuer to pay withholding taxes upon the vesting of 12,958 Performance RSUs and 14,546 restricted stock units.

F3: On January 2, 2024, the reporting person was granted Performance RSUs, which vest based upon the achievement of certain performance criteria over the three year period following the date of grant (each such year, a "Performance Period"), with up to 33% of such units vesting (on each anniversary of the date of grant) with respect to each applicable Performance Period. For the January 2, 2026 vesting, approximately 67% of the target shares vested based on the achievement of the performance criteria described below.

F4: The annual performance criteria for each annual Performance Period is for the % increase in value of Mitek's common stock to meet or exceed the % increase in value of the Russell 2000 Index over the applicable annual Performance Period, based on a hypothetical investment in both Mitek's common stock and the Russell 2000 Index with a purchase price equal to the average closing price of each for the 20-trading days immediately preceding the start of the applicable Performance Period. At the end of the applicable Performance Period, the value of the hypothetical investments is determined by assuming the sale of each based on the average closing price of each from the immediately preceding 20-trading days. The % change is determined by comparing the increase in value to the starting investment.

F5: Additionally, a portion of the Performance RSUs may vest during a later Performance Period if the cumulative % increase in value of Mitek common stock measured over the current and all previous Performance Periods exceeds the cumulative % increase in value of the Russell 2000 Index.

SURGALIGN HOLDINGS, INC.

Report date September 15, 2023 · Filed September 18, 2023

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	83,307	Reported balance After 2023-09-15 transaction · row 1 1 source row Row 1 · 2023-09-15 · Tax withholding · Disposed 1,329 · Balance 83,307 F1: Shares withheld by Surgalign Holdings, Inc. to satisfy the withholding obligation in connection with the vesting of previously awarded restricted stock.

Filing footnotes · ownership attribution and instrument terms

F1: Shares withheld by Surgalign Holdings, Inc. to satisfy the withholding obligation in connection with the vesting of previously awarded restricted stock.

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	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2019-05-16 transaction · row 1 1 source row Row 1 · 2019-05-16 · Other · Disposed 166,441 · 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 3,212 shares of Tesla common stock and $76.55 in lieu of fractional shares of Tesla common stock.
Restricted Stock UnitsSEC Table II · derivative / convertible security	Direct	Reported balance After 2019-05-16 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2019-05-16 · Disposition to issuer · Disposed 30,919 · 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 596 shares of the Common Stock of Tesla. F3: These units do not expire.
Restricted Stock UnitsSEC Table II · derivative / convertible security	Direct	Reported balance After 2019-05-16 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2019-05-16 · Disposition to issuer · Disposed 30,000 · 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 579 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	Reported balance After 2019-05-16 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2019-05-16 · Disposition to issuer · Disposed 40,000 · Balance 0 F6: 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 772 shares of the Common Stock of Tesla. F3: These units do not expire.
Restricted Stock UnitsSEC Table II · derivative / convertible security	Direct	Reported balance After 2019-05-16 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2019-05-16 · Disposition to issuer · Disposed 30,000 · Balance 0 F7: 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 579 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	Reported balance After 2019-05-16 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2019-05-16 · Disposition to issuer · Disposed 19,260 · 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 371 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	Reported balance After 2019-05-16 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2019-05-16 · Disposition to issuer · Disposed 13,003 · 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 May 11, 2016, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 250 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	Reported balance After 2019-05-16 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2019-05-16 · Disposition to issuer · Disposed 45,000 · 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 868 shares of the Common Stock of Tesla. F3: These units do not expire.
Market Stock UnitsSEC Table II · derivative / convertible security	Direct	Reported balance After 2019-05-16 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2019-05-16 · Disposition to issuer · Disposed 38,000 · Balance 0 F8: 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 733 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 · Expires 2025-05-11	Direct	Reported balance After 2019-05-16 transaction · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 10 · 2019-05-16 · Disposition to issuer · Disposed 33,546 · Balance 0 F11: Option becomes exercisable in annual installments over 4 years beginning May 11, 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 647 shares of Tesla Common Stock with an exercise price of $312.44 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 3,212 shares of Tesla common stock and $76.55 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 596 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 579 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 868 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. 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 772 shares of the Common Stock of Tesla.

F7: 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 579 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.

F8: 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 733 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 371 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 May 11, 2016, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 250 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 May 11, 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 647 shares of Tesla Common Stock with an exercise price of $312.44 per share.

Transaction history

JSON API

Purchases/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
January 02, 2026 Filed Jan 6, 2026 21:00 UTC	MITEK SYSTEMS INC MITK · Entity 5119	Exercise / conversionPerformance Restricted Stock Units · Derivative	12,958	$0.00	$0.00	Disclosure SEC source: 0001628280-26-000864 · wk-form4_1767733249.xml · derivative · entry 3 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 177,386 Underlying: Common Stock · 12,958 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. F3 · derivative.exercise_price: On January 2, 2024, the reporting person was granted Performance RSUs, which vest based upon the achievement of certain performance criteria over the three year period following the date of grant (each such year, a "Performance Period"), with up to 33% of such units vesting (on each anniversary of the date of grant) with respect to each applicable Performance Period. For the January 2, 2026 vesting, approximately 67% of the target shares vested based on the achievement of the performance criteria described below. F4 · derivative.exercise_price: The annual performance criteria for each annual Performance Period is for the % increase in value of Mitek's common stock to meet or exceed the % increase in value of the Russell 2000 Index over the applicable annual Performance Period, based on a hypothetical investment in both Mitek's common stock and the Russell 2000 Index with a purchase price equal to the average closing price of each for the 20-trading days immediately preceding the start of the applicable Performance Period. At the end of the applicable Performance Period, the value of the hypothetical investments is determined by assuming the sale of each based on the average closing price of each from the immediately preceding 20-trading days. The % change is determined by comparing the increase in value to the starting investment. F5 · derivative.exercise_price: Additionally, a portion of the Performance RSUs may vest during a later Performance Period if the cumulative % increase in value of Mitek common stock measured over the current and all previous Performance Periods exceeds the cumulative % increase in value of the Russell 2000 Index. F3 · derivative.exercise_date: On January 2, 2024, the reporting person was granted Performance RSUs, which vest based upon the achievement of certain performance criteria over the three year period following the date of grant (each such year, a "Performance Period"), with up to 33% of such units vesting (on each anniversary of the date of grant) with respect to each applicable Performance Period. For the January 2, 2026 vesting, approximately 67% of the target shares vested based on the achievement of the performance criteria described below. F3 · derivative.expiration_date: On January 2, 2024, the reporting person was granted Performance RSUs, which vest based upon the achievement of certain performance criteria over the three year period following the date of grant (each such year, a "Performance Period"), with up to 33% of such units vesting (on each anniversary of the date of grant) with respect to each applicable Performance Period. For the January 2, 2026 vesting, approximately 67% of the target shares vested based on the achievement of the performance criteria described below. Read SEC document
January 02, 2026 Filed Jan 6, 2026 21:00 UTC	MITEK SYSTEMS INC MITK · Entity 5119	Tax withholdingCommon Stock	14,878	$9.97	$148,333.66	Disclosure SEC source: 0001628280-26-000864 · wk-form4_1767733249.xml · nonDerivative · entry 2 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 192,614 F2 · shares: Represents the disposition of shares that were withheld by the Issuer to pay withholding taxes upon the vesting of 12,958 Performance RSUs and 14,546 restricted stock units. Read SEC document
January 02, 2026 Filed Jan 6, 2026 21:00 UTC	MITEK SYSTEMS INC MITK · Entity 5119	Exercise / conversionCommon Stock	12,958	$0.00	$0.00	Disclosure SEC source: 0001628280-26-000864 · wk-form4_1767733249.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 207,492 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 · shares: Performance restricted stock units ("Performance RSUs") convert into common stock on a one-for-one basis. Read SEC document
December 08, 2025 Filed Dec 10, 2025 23:27 UTC	MITEK SYSTEMS INC MITK · Entity 5119	Exercise / conversionPerformance Restricted Stock Units · Derivative	22,075	$0.00	$0.00	Disclosure SEC source: 0001628280-25-056388 · wk-form4_1765409244.xml · derivative · entry 3 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 190,344 Underlying: Common Stock · 22,075 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. F3 · derivative.exercise_price: On December 8, 2024, the reporting person was granted Performance RSUs, which vest based upon the achievement of certain performance criteria over the three year period following the date of grant (each such year, a "Performance Period"), with up to 33% of such units vesting (on each anniversary of the date of grant) with respect to each applicable Performance Period. For the December 8, 2025 vesting, approximately 93% of the target shares vested based on the achievement of the performance criteria described below, and the remaining were cancelled. F4 · derivative.exercise_price: The annual performance criteria for each annual Performance Period is for the % increase in value of Mitek's common stock to meet or exceed the % increase in value of the Russell 2000 Index over the applicable annual Performance Period, based on a hypothetical investment in both Mitek's common stock and the Russell 2000 Index with a purchase price equal to the average closing price of each for the 20-trading days immediately preceding the start of the applicable Performance Period. At the end of the applicable Performance Period, the value of the hypothetical investments is determined by assuming the sale of each based on the average closing price of each from the immediately preceding 20-trading days. The % change is determined by comparing the increase in value to the starting investment. F3 · derivative.exercise_date: On December 8, 2024, the reporting person was granted Performance RSUs, which vest based upon the achievement of certain performance criteria over the three year period following the date of grant (each such year, a "Performance Period"), with up to 33% of such units vesting (on each anniversary of the date of grant) with respect to each applicable Performance Period. For the December 8, 2025 vesting, approximately 93% of the target shares vested based on the achievement of the performance criteria described below, and the remaining were cancelled. F3 · derivative.expiration_date: On December 8, 2024, the reporting person was granted Performance RSUs, which vest based upon the achievement of certain performance criteria over the three year period following the date of grant (each such year, a "Performance Period"), with up to 33% of such units vesting (on each anniversary of the date of grant) with respect to each applicable Performance Period. For the December 8, 2025 vesting, approximately 93% of the target shares vested based on the achievement of the performance criteria described below, and the remaining were cancelled. Read SEC document
December 08, 2025 Filed Dec 10, 2025 23:27 UTC	MITEK SYSTEMS INC MITK · Entity 5119	Tax withholdingCommon Stock	19,163	$9.14	$175,149.82	Disclosure SEC source: 0001628280-25-056388 · wk-form4_1765409244.xml · nonDerivative · entry 2 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 194,534 F2 · shares: Represents the disposition of shares that were withheld by the Issuer to pay withholding taxes upon the vesting of 20,479 Performance RSUs and 16,556 restricted stock units. Read SEC document
December 08, 2025 Filed Dec 10, 2025 23:27 UTC	MITEK SYSTEMS INC MITK · Entity 5119	Exercise / conversionCommon Stock	20,479	$9.14	$187,178.06	Disclosure SEC source: 0001628280-25-056388 · wk-form4_1765409244.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 213,697 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 · shares: Performance restricted stock units (the "Performance RSUs") convert into common stock on a one-for-one basis. Read SEC document
November 19, 2025 Filed Nov 21, 2025 23:21 UTC	MITEK SYSTEMS INC MITK · Entity 5119	GrantPerformance Restricted Stock Units · Derivative	68,808	$8.72	$600,005.76	Disclosure SEC source: 0001628280-25-053659 · wk-form4_1763767299.xml · derivative · entry 2 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 212,419 Underlying: Common Stock · 68,808 shares Expires not disclosed F2 · derivative.exercise_price: Represents target performance restricted stock units (''Performance RSUs'') granted on November 19, 2025 under the 2020 Plan, which vest based upon the achievement of certain performance criteria on the third anniversary of the date of grant (''Performance Period''). Performance criteria is the percentage increase in value of the Issuer's common stock compared to the percentage increase in value of the Russell 2000 Index over the Performance Period. The final potential payout will range from 50% to 200% of the number of awarded target Performance RSUs, based on an attainment between 75% to 125% compared to the Russell 2000 Index. The attainment below 75% will result in a 0% payout. F3 · derivative.exercise_price: For the purposes of determining the percentage increase in value of the Issuer's common stock and the Russell 2000 Index, a hypothetical investment of $100 will be made in both the Issuer's common stock and the Russell 2000 Index with a purchase price equal to the average closing price of each for the 40-trading days immediately preceding the start of the Performance Period. At the end of the Performance Period, the value of the hypothetical investments shall be determined by assuming the sale of each based on the average closing price of each from the immediately preceding 40-trading days. The percentage change shall be determined by comparing the increase in value to the starting investment of $100. F2 · derivative.exercise_date: Represents target performance restricted stock units (''Performance RSUs'') granted on November 19, 2025 under the 2020 Plan, which vest based upon the achievement of certain performance criteria on the third anniversary of the date of grant (''Performance Period''). Performance criteria is the percentage increase in value of the Issuer's common stock compared to the percentage increase in value of the Russell 2000 Index over the Performance Period. The final potential payout will range from 50% to 200% of the number of awarded target Performance RSUs, based on an attainment between 75% to 125% compared to the Russell 2000 Index. The attainment below 75% will result in a 0% payout. F2 · derivative.expiration_date: Represents target performance restricted stock units (''Performance RSUs'') granted on November 19, 2025 under the 2020 Plan, which vest based upon the achievement of certain performance criteria on the third anniversary of the date of grant (''Performance Period''). Performance criteria is the percentage increase in value of the Issuer's common stock compared to the percentage increase in value of the Russell 2000 Index over the Performance Period. The final potential payout will range from 50% to 200% of the number of awarded target Performance RSUs, based on an attainment between 75% to 125% compared to the Russell 2000 Index. The attainment below 75% will result in a 0% payout. Read SEC document
November 19, 2025 Filed Nov 21, 2025 23:21 UTC	MITEK SYSTEMS INC MITK · Entity 5119	GrantCommon Stock	68,808	$8.72	$600,005.76	Disclosure SEC source: 0001628280-25-053659 · wk-form4_1763767299.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 193,218 F1 · shares: Represents restricted stock units granted on November 19, 2025 under the Issuer's Amended and Restated 2020 Incentive Plan (the ''2020 Plan''). Shares subject to the award vest over four years from the date of grant, with 25% of the shares subject to the award vesting on the first anniversary of the date of grant and an additional 25% of the shares vesting on each subsequent anniversary of the date of grant thereafter. Read SEC document
December 08, 2024 Filed Dec 11, 2024 02:55 UTC	MITEK SYSTEMS INC MITK · Entity 5119	GrantPerformance Restricted Stock Units · Derivative	66,225	$0.00	$0.00	Disclosure SEC source: 0000807863-24-000127 · wk-form4_1733885743.xml · derivative · entry 2 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 143,611 Underlying: Common Stock · 66,225 shares Expires not disclosed F2 · derivative.exercise_price: Represents performance restricted stock units (''Performance RSUs'') granted on December 8, 2024 under the 2020 Plan, which vest based upon the achievement of certain performance criteria over the three-year period following the date of grant (each such year, a ''Performance Period''). Performance criteria is measured on an annual basis as described below. Additionally, based on the attainment of certain above-target performance criteria, the final potential payout will range 100% to 200% of the number of awarded Performance RSUs. F3 · derivative.exercise_price: With respect to the Performance RSUs, the annual performance criteria for each annual Performance Period shall be for the percentage increase in value of the Issuer's common stock to meet or exceed the percentage increase in value of the Russell 2000 Index over the applicable annual Performance Period. F4 · derivative.exercise_price: Up to 33% of the Performance RSUs shall vest on each one-year anniversary of the date of grant if the annual performance criteria for the applicable Performance Period has been met. For the Issuer's common stock performance between 75% through 100% of the performance of the Russell 2000 Index, a pro-rata portion of the Performance RSUs will vest. F5 · derivative.exercise_price: For the purposes of determining the percentage increase in value of the Issuer's common stock and the Russell 2000 Index, a hypothetical investment of $100 will be made in both the Issuer's common stock and the Russell 2000 Index with a purchase price equal to the average closing price of each for the 20-trading days immediately preceding the start of the applicable Performance Period. At the end of the applicable Performance Period, the value of the hypothetical investments shall be determined by assuming the sale of each based on the average closing price of each from the immediately preceding 20-trading days. The percentage change shall be determined by comparing the increase in value to the starting investment of $100. F2 · derivative.exercise_date: Represents performance restricted stock units (''Performance RSUs'') granted on December 8, 2024 under the 2020 Plan, which vest based upon the achievement of certain performance criteria over the three-year period following the date of grant (each such year, a ''Performance Period''). Performance criteria is measured on an annual basis as described below. Additionally, based on the attainment of certain above-target performance criteria, the final potential payout will range 100% to 200% of the number of awarded Performance RSUs. F2 · derivative.expiration_date: Represents performance restricted stock units (''Performance RSUs'') granted on December 8, 2024 under the 2020 Plan, which vest based upon the achievement of certain performance criteria over the three-year period following the date of grant (each such year, a ''Performance Period''). Performance criteria is measured on an annual basis as described below. Additionally, based on the attainment of certain above-target performance criteria, the final potential payout will range 100% to 200% of the number of awarded Performance RSUs. Read SEC document
December 08, 2024 Filed Dec 11, 2024 02:55 UTC	MITEK SYSTEMS INC MITK · Entity 5119	GrantCommon Stock	66,225	$9.06	$599,998.50	Disclosure SEC source: 0000807863-24-000127 · wk-form4_1733885743.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 124,410 F1 · shares: Represents restricted stock units granted on December 8, 2024 under the Issuer's Amended and Restated 2020 Incentive Plan (the ''2020 Plan''). Shares subject to the award vest as follows: 25% shall vest on the first anniversary of the date grant and thereafter an additional 25% shall vest on each subsequent anniversary of the date of grant. Read SEC document
January 02, 2024 Filed Jan 5, 2024 02:15 UTC	MITEK SYSTEMS INC MITK · Entity 5119	GrantPerformance Restricted Stock Units · Derivative	77,386	$0.00	$0.00	Disclosure SEC source: 0000807863-24-000006 · wk-form4_1704420924.xml · derivative · entry 2 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 77,386 Underlying: Common Stock · 77,386 shares Expires not disclosed F2 · derivative.exercise_price: Represents 77,386 performance restricted stock units (the "Performance RSUs") granted on January 2, 2024 under the 2020 Plan, which vest based upon the achievement of certain performance criteria over the three-year period following the date of grant (each such year, a "Performance Period"). Performance criteria is measured on both an annual and cumulative basis as described below. 58,185 of the Performance RSUs vest if certain at-target performance criteria is met (the "At-Target Performance RSUs") and 19,201 of the Performance RSUs vest if certain above-target performance criteria is met (the "Above-Target Performance RSUs"). F3 · derivative.exercise_price: With respect to At-Target Performance RSUs, the annual performance criteria for each annual Performance Period shall be for the percentage increase in value of the Issuer's common stock to meet or exceed the percentage increase in value of the Russell 2000 Index over the applicable annual Performance Period. With respect to Above-Target Performance RSUs, the annual performance criteria for each annual Pe Period shall be for the percentage increase in value of the Issuer's common stock to be 110% or more of the percentage increase in value of the Russell 2000 Index over the applicable annual Performance Period." F4 · derivative.exercise_price: For the purposes of determining the percentage increase in value of the Issuer's common stock and the Russell 2000 Index, a hypothetical investment of $100 will be made in both the Issuer's common stock and the Russell 2000 Index with a purchase price equal to the average closing price of each for the 20-trading days immediately preceding the start of the applicable Performance Period. At the end of the applicable Performance Period, the value of the hypothetical investments shall be determined by assuming the sale of each based on the average closing price of each from the immediately preceding 20-trading days. The percentage change shall be determined by comparing the increase in value to the starting investment of $100. F5 · derivative.exercise_price: Up to 33% of the At-Target Performance RSUs shall vest on each one-year anniversary of the date of grant if the annual performance criteria for the applicable Performance Period has been met. Up to 33% of the Above-Target Performance RSUs shall vest on each one-year anniversary of the date of grant if the annual performance criteria for the applicable Performance Period has been exceeded by 10% or more. If the annual performance criteria for any applicable Performance Period has not been met, then up to 100% of any such prior Performance Period's unvested Performance RSUs shall vest at the end of any subsequent annual Performance Period if the applicable cumulative performance criteria has been met. For the Issuer's common stock performance (whether annual or cumulative) between 85% through 100% of the performance of the Russell 2000 Index, a pro-rata portion of the At-Target Performance RSUs will vest and no Above-Target Performance RSUs will vest. F2 · shares: Represents 77,386 performance restricted stock units (the "Performance RSUs") granted on January 2, 2024 under the 2020 Plan, which vest based upon the achievement of certain performance criteria over the three-year period following the date of grant (each such year, a "Performance Period"). Performance criteria is measured on both an annual and cumulative basis as described below. 58,185 of the Performance RSUs vest if certain at-target performance criteria is met (the "At-Target Performance RSUs") and 19,201 of the Performance RSUs vest if certain above-target performance criteria is met (the "Above-Target Performance RSUs"). F5 · derivative.exercise_date: Up to 33% of the At-Target Performance RSUs shall vest on each one-year anniversary of the date of grant if the annual performance criteria for the applicable Performance Period has been met. Up to 33% of the Above-Target Performance RSUs shall vest on each one-year anniversary of the date of grant if the annual performance criteria for the applicable Performance Period has been exceeded by 10% or more. If the annual performance criteria for any applicable Performance Period has not been met, then up to 100% of any such prior Performance Period's unvested Performance RSUs shall vest at the end of any subsequent annual Performance Period if the applicable cumulative performance criteria has been met. For the Issuer's common stock performance (whether annual or cumulative) between 85% through 100% of the performance of the Russell 2000 Index, a pro-rata portion of the At-Target Performance RSUs will vest and no Above-Target Performance RSUs will vest. F5 · derivative.expiration_date: Up to 33% of the At-Target Performance RSUs shall vest on each one-year anniversary of the date of grant if the annual performance criteria for the applicable Performance Period has been met. Up to 33% of the Above-Target Performance RSUs shall vest on each one-year anniversary of the date of grant if the annual performance criteria for the applicable Performance Period has been exceeded by 10% or more. If the annual performance criteria for any applicable Performance Period has not been met, then up to 100% of any such prior Performance Period's unvested Performance RSUs shall vest at the end of any subsequent annual Performance Period if the applicable cumulative performance criteria has been met. For the Issuer's common stock performance (whether annual or cumulative) between 85% through 100% of the performance of the Russell 2000 Index, a pro-rata portion of the At-Target Performance RSUs will vest and no Above-Target Performance RSUs will vest. Read SEC document
January 02, 2024 Filed Jan 5, 2024 02:15 UTC	MITEK SYSTEMS INC MITK · Entity 5119	GrantCommon Stock	58,185	$12.89	$750,004.65	Disclosure SEC source: 0000807863-24-000006 · wk-form4_1704420924.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 58,185 F1 · shares: Represents restricted stock units granted on January 2, 2024 under the Issuer's Amended and Restated 2020 Incentive Plan (the "2020 Plan"). Shares subject to the award vest as follows: 25% shall vest on the first anniversary of the date of grant and thereafter an additional 25% shall vest on each subsequent anniversary of the date of grant. Read SEC document
September 15, 2023 Filed Sep 18, 2023 11:47 UTC	SURGALIGN HOLDINGS, INC. SRGA · Entity 109633	Tax withholdingCommon Stock	1,329	$0.01	$13.29	Disclosure SEC source: 0001209191-23-049692 · doc4.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 83,307 F1 · shares: Shares withheld by Surgalign Holdings, Inc. to satisfy the withholding obligation in connection with the vesting of previously awarded restricted stock. Read SEC document
August 15, 2023 Filed Aug 16, 2023 17:30 UTC	SURGALIGN HOLDINGS, INC. SRGA · Entity 109633	Tax withholdingCommon Stock	8,072	$0.02	$161.44	Disclosure SEC source: 0001209191-23-046070 · doc4.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 84,636 F1 · shares: Shares withheld by Surgalign Holdings, Inc. to satisfy the withholding obligation in connection with the vesting of previously awarded restricted stock. Read SEC document
June 15, 2023 Filed Jun 16, 2023 11:27 UTC	SURGALIGN HOLDINGS, INC. SRGA · Entity 109633	Tax withholdingCommon Stock	1,330	$1.18	$1,569.40	Disclosure SEC source: 0001209191-23-037726 · doc4.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 92,708 F1 · shares: Shares withheld by Surgalign Holdings, Inc. to satisfy the withholding obligation in connection with the vesting of previously awarded restricted stock. Read SEC document
March 15, 2023 Filed Mar 16, 2023 10:44 UTC	SURGALIGN HOLDINGS, INC. SRGA · Entity 109633	Tax withholdingCommon Stock	5,438	$1.75	$9,516.50	Disclosure SEC source: 0001209191-23-019131 · doc4.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,038 F1 · shares: Shares withheld by Surgalign Holdings, Inc. to satisfy the withholding obligation in connection with the vesting of previously awarded restricted stock. Read SEC document
August 15, 2022 Filed Aug 17, 2022 13:27 UTC	SURGALIGN HOLDINGS, INC. SRGA · Entity 109633	GrantCommon Stock	40,476	$0.00	$0.00	Disclosure SEC source: 0001209191-22-046175 · doc4.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,476 F1 · shares: The Restricted Stock Units will vest over two years with one-half of the total number of shares vesting on the first anniversary of the award date and the remaining shares vesting prorated quarterly. Read SEC document
May 18, 2022 Filed May 19, 2022 10:44 UTC	SURGALIGN HOLDINGS, INC. SRGA · Entity 109633	PurchaseCommon Stock	19,000	$5.26	$99,926.70	Disclosure SEC source: 0001209191-22-030336 · doc4.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,000 F1 · price: The price reported in column four is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.94 to $5.59, inclusive. The reporting person undertakes to provide to Surgalign Holdings, Inc., any security holder of Surgalign Holdings, Inc. or the staff of the SEC, upon request, full information regarding the number of shares and prices at which the transaction was effected. F2 · balance_after: The total shares reported reflect a 1:30 reverse stock split on May 17, 2022. Read SEC document
March 15, 2022 Filed Mar 15, 2022 18:50 UTC	SURGALIGN HOLDINGS, INC. SRGA · Entity 109633	GrantCommon Stock	1,200,000	$0.00	$0.00	Disclosure SEC source: 0001209191-22-018961 · doc4.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,200,000 F1 · shares: Common stock issued in the form of Restricted Stock Units (RSUs) which will vest as follows: one-third of the RSUs will vest on the first anniversary of the grant date and one-eighth of the remaining RSUs will vest quarterly beginning on the fifteenth month following the grant date, provided Executive is still an employee of the Company on such vesting dates. Read SEC document
February 01, 2022 Filed Feb 3, 2022 21:19 UTC	AIRGAIN INC AIRG · Entity 552	GrantStock Option (Right to Buy) · Derivative	23,079	$0.00 Strike: $9.46	$0.00	Disclosure SEC source: 0001209191-22-007109 · doc4.xml · derivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,079 Underlying: Common Stock · 23,079 shares Expires 2032-01-31 F1 · derivative.exercise_date: The option is exercisable as it vests. 25% of the shares subject to the option vest on February 1, 2023, and 1/48th of the total number of shares subject to the option vest monthly thereafter, subject to the reporting person's continued service to the Issuer through each such vesting date. The option may accelerate under certain conditions pursuant to the reporting person's employment agreement. Read SEC document
January 28, 2021 Filed Feb 2, 2021 16:30 UTC	AIRGAIN INC AIRG · Entity 552	GrantStock Option (Right to Buy) · Derivative	38,000	$0.00 Strike: $24.18	$0.00	Disclosure SEC source: 0001209191-21-006791 · doc4.xml · derivative · entry 2 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,000 Underlying: Common stock · 38,000 shares Expires 2031-01-27 F3 · derivative.exercise_date: The option is exercisable as it vests. 25% of the shares subject to the option vest on January 28, 2022, and 1/48th of the total number of shares subject to the option vest monthly thereafter, subject to the reporting person's continued service to the Issuer through each such vesting date. The option may accelerate under certain conditions pursuant to the reporting person's employment agreement. Read SEC document
January 28, 2021 Filed Feb 2, 2021 16:30 UTC	AIRGAIN INC AIRG · Entity 552	GrantCommon Stock	20,900	$0.00	$0.00	Disclosure SEC source: 0001209191-21-006791 · doc4.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,900 F1 · security: Represents restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs shall vest in substantially equal installments on each of the March 1, 2022; March 1, 2023; March 1, 2024; and March 1, 2025, subject to the Reporting Person's continued service to the Issuer through each such vesting date. The RSUs may accelerate under certain conditions pursuant to the reporting person's employment agreement. F2 · balance_after: Includes 55,900 RSUs. Read SEC document
May 19, 2020 Filed May 20, 2020 17:03 UTC	AIRGAIN INC AIRG · Entity 552	PurchaseCommon Stock	6,790	$8.36	$56,757.61	Disclosure SEC source: 0001209191-20-030941 · doc4.xml · nonDerivative · entry 2 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,000 F1 · balance_after: Includes 35,000 restricted stock units previously issued to the Reporting Person by the Issuer. Read SEC document
May 18, 2020 Filed May 20, 2020 17:03 UTC	AIRGAIN INC AIRG · Entity 552	PurchaseCommon Stock	5,210	$8.30	$43,216.95	Disclosure SEC source: 0001209191-20-030941 · doc4.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,210 F1 · balance_after: Includes 35,000 restricted stock units previously issued to the Reporting Person by the Issuer. Read SEC document
January 13, 2020 Filed Jan 13, 2020 20:23 UTC	AIRGAIN INC AIRG · Entity 552	GrantStock Option (Right to Buy) · Derivative	100,000	$0.00 Strike: $10.16	$0.00	Disclosure SEC source: 0001209191-20-003256 · doc4.xml · derivative · entry 2 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2030-01-12 F3 · derivative.exercise_date: The option is exercisable as it vests. 25% of the shares subject to the option vest on January 13, 2021, and 1/48th of the total number of shares subject to the option vest monthly thereafter, subject to the Reporting Person's continued employment or service with the Issuer through each such vesting date. Read SEC document
January 13, 2020 Filed Jan 13, 2020 20:23 UTC	AIRGAIN INC AIRG · Entity 552	GrantCommon Stock	35,000	$0.00	$0.00	Disclosure SEC source: 0001209191-20-003256 · doc4.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 F1 · security: Each restricted stock unit (RSU) represents a contingent right to receive one share of the Issuer's common stock. The RSUs shall vest in substantially equal installments on each of March 1, 2021, March 1, 2022, March 1, 2023, and March 1, 2024, subject to the Reporting Person's continued service with the Issuer through each such vesting date. F2 · balance_after: Includes 35,000 restricted stock units. Read SEC document
May 16, 2019 Filed May 17, 2019 16:40 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Disposition to issuerEmployee Stock Options (Right to Buy) · Derivative	33,546	$0.00	$0.00	Disclosure SEC source: 0001209191-19-030972 · doc4.xml · derivative · entry 10 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 33,546 shares Expires 2025-05-11 F11 · derivative.exercise_price: Option becomes exercisable in annual installments over 4 years beginning May 11, 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 647 shares of Tesla Common Stock with an exercise price of $312.44 per share. F11 · derivative.exercise_date: Option becomes exercisable in annual installments over 4 years beginning May 11, 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 647 shares of Tesla Common Stock with an exercise price of $312.44 per share. Read SEC document
May 16, 2019 Filed May 17, 2019 16:40 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Disposition to issuerRestricted Stock Units · Derivative	13,003	$0.00	$0.00	Disclosure SEC source: 0001209191-19-030972 · doc4.xml · derivative · entry 9 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,003 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 May 11, 2016, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 250 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 May 11, 2016, was assumed by Tesla in the merger and converted into restricted stock units representing a contingent right to receive an aggregate of 250 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 16:40 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Disposition to issuerRestricted Stock Units · Derivative	19,260	$0.00	$0.00	Disclosure SEC source: 0001209191-19-030972 · doc4.xml · derivative · entry 8 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,260 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 371 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 371 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 16:40 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Disposition to issuerMarket Stock Units · Derivative	38,000	$0.00	$0.00	Disclosure SEC source: 0001209191-19-030972 · doc4.xml · derivative · entry 7 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 38,000 shares Expires not disclosed F8 · 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 733 shares of the Common Stock of Tesla. F8 · 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 733 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 16:40 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Disposition to issuerRestricted Stock Units · Derivative	30,000	$0.00	$0.00	Disclosure SEC source: 0001209191-19-030972 · doc4.xml · derivative · entry 6 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires not disclosed F7 · 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 579 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 · 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 579 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 16:40 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Disposition to issuerRestricted Stock Units · Derivative	40,000	$0.00	$0.00	Disclosure SEC source: 0001209191-19-030972 · doc4.xml · derivative · entry 5 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 40,000 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. 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 772 shares of the Common Stock of Tesla. F6 · 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 772 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 16:40 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Disposition to issuerMarket Stock Units · Derivative	45,000	$0.00	$0.00	Disclosure SEC source: 0001209191-19-030972 · doc4.xml · derivative · entry 4 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 45,000 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 868 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 868 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 16:40 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Disposition to issuerRestricted Stock Units · Derivative	30,000	$0.00	$0.00	Disclosure SEC source: 0001209191-19-030972 · doc4.xml · derivative · entry 3 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 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 579 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 579 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 16:40 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Disposition to issuerRestricted Stock Units · Derivative	30,919	$0.00	$0.00	Disclosure SEC source: 0001209191-19-030972 · doc4.xml · derivative · entry 2 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,919 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 596 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 596 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 16:40 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	OtherCommon Stock	166,441	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-19-030972 · doc4.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial 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 3,212 shares of Tesla common stock and $76.55 in lieu of fractional shares of Tesla common stock. Read SEC document
February 20, 2019 Filed Feb 22, 2019 16:27 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	GrantRestricted Stock Units · Derivative	30,919	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-19-012577 · doc4.xml · derivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,919 Underlying: Common Stock · 30,919 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted 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. 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 16:05 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	PurchaseCommon Stock	30,700	$3.25	$99,775.00	Disclosure SEC source: 0001209191-18-046395 · doc4.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,500 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 16:53 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Exercise / conversionRestricted Stock Units · Derivative	13,003	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-18-030249 · doc4.xml · derivative · entry 2 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,003 Underlying: Common Stock · 13,003 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. 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. F3 · derivative.expiration_date: These units do not expire. Read SEC document
May 11, 2018 Filed May 15, 2018 16:53 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Exercise / conversionCommon Stock	13,003	$0.00	$0.00	Disclosure SEC source: 0001209191-18-030249 · doc4.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,800 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 23, 2018 Filed Feb 27, 2018 19:22 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	GrantMarket Stock Units · Derivative	90,000	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-18-014243 · doc4.xml · derivative · entry 2 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,000 Underlying: Common Stock · 90,000 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 23, 2018 Filed Feb 27, 2018 19:22 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	GrantRestricted Stock Units · Derivative	30,000	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-18-014243 · doc4.xml · derivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 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 20:43 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Exercise / conversionMarket Stock Units · Derivative	2,000	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-18-012771 · doc4.xml · derivative · entry 8 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,000 Underlying: Common Stock · 2,000 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. 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 20:43 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Exercise / conversionRestricted Stock Units · Derivative	10,000	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-18-012771 · doc4.xml · derivative · entry 7 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 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: 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 20:43 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Exercise / conversionRestricted Stock Units · Derivative	9,630	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-18-012771 · doc4.xml · derivative · entry 6 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,260 Underlying: Common Stock · 9,630 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 20:43 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Tax withholdingCommon Stock	14,805	$5.89	$87,201.45	Disclosure SEC source: 0001209191-18-012771 · doc4.xml · nonDerivative · entry 5 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,797 F4 · shares: These shares were withheld in order to meet the 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 20:43 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	GrantCommon Stock	41,256	$0.00	$0.00	Disclosure SEC source: 0001209191-18-012771 · doc4.xml · nonDerivative · entry 4 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,602 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 20:43 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Exercise / conversionCommon Stock	2,000	$0.00	$0.00	Disclosure SEC source: 0001209191-18-012771 · doc4.xml · nonDerivative · entry 3 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,346 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 20:43 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Exercise / conversionCommon Stock	10,000	$0.00	$0.00	Disclosure SEC source: 0001209191-18-012771 · doc4.xml · nonDerivative · entry 2 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,346 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 20:43 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Exercise / conversionCommon Stock	9,630	$0.00	$0.00	Disclosure SEC source: 0001209191-18-012771 · doc4.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,346 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

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.