4//SEC Filing
SPIEGEL LEO 4
Accession 0001181431-10-018519
CIK 0001288469other
Filed
Mar 28, 8:00 PM ET
Accepted
Mar 29, 5:36 PM ET
Size
30.6 KB
Accession
0001181431-10-018519
Insider Transaction Report
Form 4
RYAN DAVID J
10% Owner
Transactions
- Conversion
Series A Convertible Preferred Stock
2010-03-29$2.03/sh−1,885,570$3,827,707→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (1,885,570 underlying) - Conversion
Series A Convertible Preferred Stock
2010-03-29$2.03/sh−82,665$167,810→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (82,665 underlying) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+1,885,570→ 1,885,570 total(indirect: See footnote) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+54,885→ 54,885 total(indirect: See footnote) - Conversion
Series B Convertible Preferred Stock
2010-03-29$2.86/sh−1,251,911$3,580,465→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (1,251,911 underlying) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+82,665→ 82,665 total(indirect: See footnote) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+1,251,911→ 1,251,911 total(indirect: See footnote) - Conversion
Series B Convertible Preferred Stock
2010-03-29$2.86/sh−54,885$156,971→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (54,885 underlying)
Mission Ventures Affiliates III LP
10% Owner
Transactions
- Conversion
Common Stock ($0.0001 par value)
2010-03-29+54,885→ 54,885 total(indirect: See footnote) - Conversion
Series A Convertible Preferred Stock
2010-03-29$2.03/sh−82,665$167,810→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (82,665 underlying) - Conversion
Series B Convertible Preferred Stock
2010-03-29$2.86/sh−1,251,911$3,580,465→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (1,251,911 underlying) - Conversion
Series B Convertible Preferred Stock
2010-03-29$2.86/sh−54,885$156,971→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (54,885 underlying) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+1,885,570→ 1,885,570 total(indirect: See footnote) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+1,251,911→ 1,251,911 total(indirect: See footnote) - Conversion
Series A Convertible Preferred Stock
2010-03-29$2.03/sh−1,885,570$3,827,707→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (1,885,570 underlying) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+82,665→ 82,665 total(indirect: See footnote)
Alexander Edward E
Director10% Owner
Transactions
- Conversion
Series A Convertible Preferred Stock
2010-03-29$2.03/sh−82,665$167,810→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (82,665 underlying) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+1,251,911→ 1,251,911 total(indirect: See footnote) - Conversion
Series B Convertible Preferred Stock
2010-03-29$2.86/sh−54,885$156,971→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (54,885 underlying) - Conversion
Series B Convertible Preferred Stock
2010-03-29$2.86/sh−1,251,911$3,580,465→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (1,251,911 underlying) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+1,885,570→ 1,885,570 total(indirect: See footnote) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+82,665→ 82,665 total(indirect: See footnote) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+54,885→ 54,885 total(indirect: See footnote) - Conversion
Series A Convertible Preferred Stock
2010-03-29$2.03/sh−1,885,570$3,827,707→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (1,885,570 underlying)
SPIEGEL LEO
10% Owner
Transactions
- Conversion
Series A Convertible Preferred Stock
2010-03-29$2.03/sh−82,665$167,810→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (82,665 underlying) - Conversion
Series B Convertible Preferred Stock
2010-03-29$2.86/sh−54,885$156,971→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (54,885 underlying) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+1,885,570→ 1,885,570 total(indirect: See footnote) - Conversion
Series A Convertible Preferred Stock
2010-03-29$2.03/sh−1,885,570$3,827,707→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (1,885,570 underlying) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+54,885→ 54,885 total(indirect: See footnote) - Conversion
Series B Convertible Preferred Stock
2010-03-29$2.86/sh−1,251,911$3,580,465→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (1,251,911 underlying) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+82,665→ 82,665 total(indirect: See footnote) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+1,251,911→ 1,251,911 total(indirect: See footnote)
KIBBLE ROBERT F
10% Owner
Transactions
- Conversion
Common Stock ($0.0001 par value)
2010-03-29+1,251,911→ 1,251,911 total(indirect: See footnote) - Conversion
Series A Convertible Preferred Stock
2010-03-29$2.03/sh−82,665$167,810→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (82,665 underlying) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+1,885,570→ 1,885,570 total(indirect: See footnote) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+54,885→ 54,885 total(indirect: See footnote) - Conversion
Series B Convertible Preferred Stock
2010-03-29$2.86/sh−1,251,911$3,580,465→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (1,251,911 underlying) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+82,665→ 82,665 total(indirect: See footnote) - Conversion
Series A Convertible Preferred Stock
2010-03-29$2.03/sh−1,885,570$3,827,707→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (1,885,570 underlying) - Conversion
Series B Convertible Preferred Stock
2010-03-29$2.86/sh−54,885$156,971→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (54,885 underlying)
Mission Ventures Management III LLC
10% Owner
Transactions
- Conversion
Common Stock ($0.0001 par value)
2010-03-29+82,665→ 82,665 total(indirect: See footnote) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+1,251,911→ 1,251,911 total(indirect: See footnote) - Conversion
Series A Convertible Preferred Stock
2010-03-29$2.03/sh−82,665$167,810→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (82,665 underlying) - Conversion
Series B Convertible Preferred Stock
2010-03-29$2.86/sh−54,885$156,971→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (54,885 underlying) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+1,885,570→ 1,885,570 total(indirect: See footnote) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+54,885→ 54,885 total(indirect: See footnote) - Conversion
Series A Convertible Preferred Stock
2010-03-29$2.03/sh−1,885,570$3,827,707→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (1,885,570 underlying) - Conversion
Series B Convertible Preferred Stock
2010-03-29$2.86/sh−1,251,911$3,580,465→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (1,251,911 underlying)
Mission Ventures III LP
10% Owner
Transactions
- Conversion
Common Stock ($0.0001 par value)
2010-03-29+1,885,570→ 1,885,570 total(indirect: See footnote) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+82,665→ 82,665 total(indirect: See footnote) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+54,885→ 54,885 total(indirect: See footnote) - Conversion
Series A Convertible Preferred Stock
2010-03-29$2.03/sh−82,665$167,810→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (82,665 underlying) - Conversion
Common Stock ($0.0001 par value)
2010-03-29+1,251,911→ 1,251,911 total(indirect: See footnote) - Conversion
Series A Convertible Preferred Stock
2010-03-29$2.03/sh−1,885,570$3,827,707→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (1,885,570 underlying) - Conversion
Series B Convertible Preferred Stock
2010-03-29$2.86/sh−1,251,911$3,580,465→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (1,251,911 underlying) - Conversion
Series B Convertible Preferred Stock
2010-03-29$2.86/sh−54,885$156,971→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (54,885 underlying)
Footnotes (6)
- [F1]Each share of Common Stock shall be automatically converted into one share of Class B Common Stock immediately prior to the closing of the Registrant's initial public offering on March 29, 2010.
- [F2]Following the conversion of Common Stock into Class B Common Stock immediately prior to the closing of the Registrant's initial public offering on March 29, 2010, each share of Class B Common Stock will be convertible into one share of Class A Common Stock upon certain transfers and at the option of the holder. On the seventh anniversary of the closing of the Registrant's initial public offering (March 29, 2017), the Class B Common Stock and the Class A Common Stock will automatically convert into a single class of Common Stock.
- [F3]Shares held directly by Mission Ventures III, L.P. ("Mission Ventures"). Mission Ventures Management III, L.L.C. ("MVM III"), is the sole general partner of Mission Ventures and has voting and investment control over the shares held by Mission Ventures. MVM III disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein. MVM III has a pecuniary interest in 1% of the total number of shares held by Mission Ventures in the Issuer. Edward E. Alexander, David Ryan, Robert Kibble and Leo Spiegel, the managing members of MVM III, may be deemed to possess voting and investment control over the shares held by Mission Ventures and may be deemed to have indirect beneficial ownership of the shares held by Mission Ventures. Such persons disclaim beneficial ownership of shares held by Mission Ventures except to the extent of any pecuniary interest therein.
- [F4]Shares held directly by Mission Ventures Affiliates III, L.P. ("Mission Affiliates"). Mission Ventures Management III, L.L.C. ("MVM III"), is the sole general partner of Mission Affiliates and has voting and investment control over the shares held by Mission Ventures. MVM III disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein. MVM III has a pecuniary interest in1% of the total number of shares held by Mission Ventures in the Issuer. Edward E. Alexander, David Ryan, Robert Kibble and Leo Spiegel, the managing members of MVM III, may be deemed to possess voting and investment control over the shares held by Mission Affiliates and may be deemed to have indirect beneficial ownership of the shares held by Mission Affiliates. Such persons disclaim beneficial ownership of shares held by Mission Affiliates except to the extent of any pecuniary interest therein.
- [F5]Pursuant to the consent of the holders, each share of Series A Preferred Stock shall be converted into one share of Common Stock immediately prior to the closing of the Registrant's initial public offering and has no expiration date.
- [F6]Pursuant to the consent of the holders, each share of Series B Preferred Stock shall be converted into one share of Common Stock immediately prior to the closing of the Registrant's initial public offering and has no expiration date.
Documents
Issuer
MAXLINEAR INC
CIK 0001288469
Entity typeother
Related Parties
1- filerCIK 0001134638
Filing Metadata
- Form type
- 4
- Filed
- Mar 28, 8:00 PM ET
- Accepted
- Mar 29, 5:36 PM ET
- Size
- 30.6 KB