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
September 29, 2017 Filed Oct 3, 2017 19:41 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Exercise / conversionRestricted Stock Units · Derivative	40,000	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-17-055504 · doc4.xml · derivative · entry 2 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 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: These units do not carry a conversion price. F4 · price: These units were received as a grant or award for no consideration. F3 · derivative.exercise_date: On April 12, 2017, the reporting person was granted 80,000 RSUs with vesting subject to the achievement of specific performance targets. The number of shares and timing of vesting under this grant will vary depending on performance achievement. 40,000 RSUs vested upon achievement of the first performance condition on September 29, 2017 and the remaining 40,000 RSUs are subject to vesting by December 31, 2018. F3 · derivative.expiration_date: On April 12, 2017, the reporting person was granted 80,000 RSUs with vesting subject to the achievement of specific performance targets. The number of shares and timing of vesting under this grant will vary depending on performance achievement. 40,000 RSUs vested upon achievement of the first performance condition on September 29, 2017 and the remaining 40,000 RSUs are subject to vesting by December 31, 2018. Read SEC document
September 29, 2017 Filed Oct 3, 2017 19:41 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Exercise / conversionCommon Stock	40,000	$0.00	$0.00	Disclosure SEC source: 0001209191-17-055504 · doc4.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,716 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 · kind: Reflects restricted stock units (RSUs) that will settle after the current restricted trading period for identified insiders has ended. F2 · price: These units do not carry a conversion price. Read SEC document
May 12, 2017 Filed May 16, 2017 18:37 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Exercise / conversionRestricted Stock Units · Derivative	20,680	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-17-032874 · 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 · 20,680 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. F5 · derivative.exercise_date: This settlement is related to restricted stock units received under the Company's short-term incentive bonus plan. Restricted stock units received under the short-term incentive bonus plan were fully vested upon grant. F4 · derivative.expiration_date: These units do not expire. Read SEC document
May 12, 2017 Filed May 16, 2017 18:37 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Exercise / conversionRestricted Stock Units · Derivative	13,003	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-17-032874 · doc4.xml · derivative · entry 6 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,006 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: These units do not carry a conversion price. F1 · price: These units do not carry a conversion price. 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 12, 2017 Filed May 16, 2017 18:37 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Exercise / conversionRestricted Stock Units · Derivative	9,631	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-17-032874 · doc4.xml · derivative · entry 5 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,890 Underlying: Common Stock · 9,631 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. 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 12, 2017 Filed May 16, 2017 18:37 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	SaleCommon Stock	16,378	$5.96	$97,612.88	Disclosure SEC source: 0001209191-17-032874 · doc4.xml · nonDerivative · entry 4 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,716 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 awards. Read SEC document
May 12, 2017 Filed May 16, 2017 18:37 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Exercise / conversionCommon Stock	20,680	$0.00	$0.00	Disclosure SEC source: 0001209191-17-032874 · doc4.xml · nonDerivative · entry 3 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,094 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 18:37 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Exercise / conversionCommon Stock	13,003	$0.00	$0.00	Disclosure SEC source: 0001209191-17-032874 · doc4.xml · nonDerivative · entry 2 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,414 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 18:37 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Exercise / conversionCommon Stock	9,631	$0.00	$0.00	Disclosure SEC source: 0001209191-17-032874 · doc4.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,411 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
April 12, 2017 Filed Apr 13, 2017 15:38 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	GrantRestricted Stock Units · Derivative	80,000	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-17-026844 · doc4.xml · derivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 shares Expires not disclosed F1 · security: 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 award represents restricted stock units with vesting subject to the achievement of specific performance targets. The number of shares and timing of vesting under this grant will vary depending on performance achievement. 40,000 RSUs are subject to vesting by December 31, 2017 and the remaining 40,000 RSUs are subject to vesting on December 31, 2018. F2 · derivative.expiration_date: This award represents restricted stock units with vesting subject to the achievement of specific performance targets. The number of shares and timing of vesting under this grant will vary depending on performance achievement. 40,000 RSUs are subject to vesting by December 31, 2017 and the remaining 40,000 RSUs are subject to vesting on December 31, 2018. Read SEC document
March 15, 2017 Filed Mar 16, 2017 19:02 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Tax withholdingCommon Stock	356	$5.44	$1,936.64	Disclosure SEC source: 0001209191-17-021199 · doc4.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,780 F1 · shares: These shares were withheld by the Company in order to meet the tax withholding obligations of the award holder in connection with the settlement of the holder's market stock unit award that vested on March 2, 2017. Read SEC document
March 02, 2017 Filed Mar 6, 2017 20:00 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	GrantMarket Stock Units · Derivative	80,000	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-17-018517 · doc4.xml · derivative · entry 5 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 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. 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. Read SEC document
March 02, 2017 Filed Mar 6, 2017 20:00 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	GrantRestricted Stock Units · Derivative	40,000	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-17-018517 · doc4.xml · derivative · entry 4 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 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 20:00 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	GrantRestricted Stock Units · Derivative	20,680	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-17-018517 · doc4.xml · derivative · entry 3 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,680 Underlying: Common Stock · 20,680 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 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. F6 · 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
March 02, 2017 Filed Mar 6, 2017 20:00 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Exercise / conversionMarket Stock Units · Derivative	826	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-17-018517 · doc4.xml · derivative · entry 2 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,216 Underlying: Common Stock · 826 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 20:00 UTC	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	Exercise / conversionCommon Stock	826	$0.00	$0.00	Disclosure SEC source: 0001209191-17-018517 · doc4.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,136 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 11, 2016 Filed Feb 22, 2017 21:21 UTC Amendment	MAXWELL TECHNOLOGIES INC MXWL · Entity 157477	SaleCommon Stock	5,752	$5.75	$33,074.00	Disclosure SEC source: 0001209191-17-013563 · doc4a.xml · nonDerivative · entry 1 Lyle David · CIK 0001416939 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,251 F1 · shares: These shares were sold in the open market in order to meet the tax withholding obligations of the Reporting Person in connection with the vesting of the Reporting Person's restricted stock unit award. F2 · shares: The original Form 4 Report incorrectly stated the number of shares sold by the Reporting Person as 5,693 shares, accordingly, an incorrect amount of securities beneficially owned was reported on the original Form 4 Report. F3 · price: The original Form 4 Report incorrectly stated the sale price per share as $5.77. 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.