Home/Filings/4/0001181431-10-019116

4//SEC Filing

SPIEGEL LEO 4

Accession 0001181431-10-019116

CIK 0001288469other

View on SEC.gov Company Profile

Filed

Mar 30, 8:00 PM ET

Accepted

Mar 31, 7:34 PM ET

Size

33.6 KB

Accession

0001181431-10-019116

Insider Transaction Report

Form 4

Period: 2010-03-29

MAXLINEAR INCMXL

Mission Ventures Management III LLC

10% Owner

Transactions

Other
Common Stock ($0.0001 par value)
2010-03-29−3,137,481→ 0 total(indirect: See footnote)
Conversion
Class A Common Stock ($0.0001 par value)
2010-03-29+327,995→ 327,995 total(indirect: See footnote)
Sale
Class A Common Stock ($0.0001 par value)
2010-03-29$14.00/sh−327,995$4,591,930→ 0 total(indirect: See footnote)
Sale
Class A Common Stock ($0.0001 par value)
2010-03-29$14.00/sh−14,380$201,320→ 0 total(indirect: See footnote)
Other
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29+3,137,481→ 3,137,481 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (3,137,481 underlying)
Other
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29+137,550→ 137,550 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (137,550 underlying)
Conversion
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29−327,995→ 2,809,486 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (327,995 underlying)
Conversion
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29−14,380→ 123,170 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (14,380 underlying)
Other
Common Stock ($0.0001 par value)
2010-03-29−137,550→ 0 total(indirect: See footnote)
Conversion
Class A Common Stock ($0.0001 par value)
2010-03-29+14,380→ 14,380 total(indirect: See footnote)

Mission Ventures III LP

10% Owner

Transactions

Other
Common Stock ($0.0001 par value)
2010-03-29−137,550→ 0 total(indirect: See footnote)
Sale
Class A Common Stock ($0.0001 par value)
2010-03-29$14.00/sh−327,995$4,591,930→ 0 total(indirect: See footnote)
Other
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29+3,137,481→ 3,137,481 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (3,137,481 underlying)
Conversion
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29−327,995→ 2,809,486 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (327,995 underlying)
Other
Common Stock ($0.0001 par value)
2010-03-29−3,137,481→ 0 total(indirect: See footnote)
Conversion
Class A Common Stock ($0.0001 par value)
2010-03-29+327,995→ 327,995 total(indirect: See footnote)
Conversion
Class A Common Stock ($0.0001 par value)
2010-03-29+14,380→ 14,380 total(indirect: See footnote)
Other
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29+137,550→ 137,550 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (137,550 underlying)
Sale
Class A Common Stock ($0.0001 par value)
2010-03-29$14.00/sh−14,380$201,320→ 0 total(indirect: See footnote)
Conversion
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29−14,380→ 123,170 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (14,380 underlying)

Alexander Edward E

Director10% Owner

Transactions

Other
Common Stock ($0.0001 par value)
2010-03-29−137,550→ 0 total(indirect: See footnote)
Conversion
Class A Common Stock ($0.0001 par value)
2010-03-29+327,995→ 327,995 total(indirect: See footnote)
Other
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29+3,137,481→ 3,137,481 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (3,137,481 underlying)
Other
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29+137,550→ 137,550 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (137,550 underlying)
Conversion
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29−14,380→ 123,170 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (14,380 underlying)
Conversion
Class A Common Stock ($0.0001 par value)
2010-03-29+14,380→ 14,380 total(indirect: See footnote)
Conversion
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29−327,995→ 2,809,486 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (327,995 underlying)
Other
Common Stock ($0.0001 par value)
2010-03-29−3,137,481→ 0 total(indirect: See footnote)
Sale
Class A Common Stock ($0.0001 par value)
2010-03-29$14.00/sh−327,995$4,591,930→ 0 total(indirect: See footnote)
Sale
Class A Common Stock ($0.0001 par value)
2010-03-29$14.00/sh−14,380$201,320→ 0 total(indirect: See footnote)

RYAN DAVID J

10% Owner

Transactions

Other
Common Stock ($0.0001 par value)
2010-03-29−3,137,481→ 0 total(indirect: See footnote)
Sale
Class A Common Stock ($0.0001 par value)
2010-03-29$14.00/sh−327,995$4,591,930→ 0 total(indirect: See footnote)
Conversion
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29−14,380→ 123,170 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (14,380 underlying)
Other
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29+3,137,481→ 3,137,481 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (3,137,481 underlying)
Conversion
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29−327,995→ 2,809,486 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (327,995 underlying)
Other
Common Stock ($0.0001 par value)
2010-03-29−137,550→ 0 total(indirect: See footnote)
Conversion
Class A Common Stock ($0.0001 par value)
2010-03-29+327,995→ 327,995 total(indirect: See footnote)
Sale
Class A Common Stock ($0.0001 par value)
2010-03-29$14.00/sh−14,380$201,320→ 0 total(indirect: See footnote)
Conversion
Class A Common Stock ($0.0001 par value)
2010-03-29+14,380→ 14,380 total(indirect: See footnote)
Other
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29+137,550→ 137,550 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (137,550 underlying)

KIBBLE ROBERT F

10% Owner

Transactions

Sale
Class A Common Stock ($0.0001 par value)
2010-03-29$14.00/sh−327,995$4,591,930→ 0 total(indirect: See footnote)
Other
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29+3,137,481→ 3,137,481 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (3,137,481 underlying)
Other
Common Stock ($0.0001 par value)
2010-03-29−137,550→ 0 total(indirect: See footnote)
Conversion
Class A Common Stock ($0.0001 par value)
2010-03-29+327,995→ 327,995 total(indirect: See footnote)
Sale
Class A Common Stock ($0.0001 par value)
2010-03-29$14.00/sh−14,380$201,320→ 0 total(indirect: See footnote)
Other
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29+137,550→ 137,550 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (137,550 underlying)
Conversion
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29−14,380→ 123,170 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (14,380 underlying)
Conversion
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29−327,995→ 2,809,486 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (327,995 underlying)
Other
Common Stock ($0.0001 par value)
2010-03-29−3,137,481→ 0 total(indirect: See footnote)
Conversion
Class A Common Stock ($0.0001 par value)
2010-03-29+14,380→ 14,380 total(indirect: See footnote)

Mission Ventures Affiliates III LP

10% Owner

Transactions

Conversion
Class A Common Stock ($0.0001 par value)
2010-03-29+327,995→ 327,995 total(indirect: See footnote)
Conversion
Class A Common Stock ($0.0001 par value)
2010-03-29+14,380→ 14,380 total(indirect: See footnote)
Other
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29+3,137,481→ 3,137,481 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (3,137,481 underlying)
Other
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29+137,550→ 137,550 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (137,550 underlying)
Conversion
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29−14,380→ 123,170 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (14,380 underlying)
Other
Common Stock ($0.0001 par value)
2010-03-29−3,137,481→ 0 total(indirect: See footnote)
Other
Common Stock ($0.0001 par value)
2010-03-29−137,550→ 0 total(indirect: See footnote)
Sale
Class A Common Stock ($0.0001 par value)
2010-03-29$14.00/sh−327,995$4,591,930→ 0 total(indirect: See footnote)
Sale
Class A Common Stock ($0.0001 par value)
2010-03-29$14.00/sh−14,380$201,320→ 0 total(indirect: See footnote)
Conversion
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29−327,995→ 2,809,486 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (327,995 underlying)

SPIEGEL LEO

10% Owner

Transactions

Other
Common Stock ($0.0001 par value)
2010-03-29−3,137,481→ 0 total(indirect: See footnote)
Conversion
Class A Common Stock ($0.0001 par value)
2010-03-29+327,995→ 327,995 total(indirect: See footnote)
Sale
Class A Common Stock ($0.0001 par value)
2010-03-29$14.00/sh−14,380$201,320→ 0 total(indirect: See footnote)
Conversion
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29−14,380→ 123,170 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (14,380 underlying)
Other
Common Stock ($0.0001 par value)
2010-03-29−137,550→ 0 total(indirect: See footnote)
Conversion
Class A Common Stock ($0.0001 par value)
2010-03-29+14,380→ 14,380 total(indirect: See footnote)
Other
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29+3,137,481→ 3,137,481 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (3,137,481 underlying)
Conversion
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29−327,995→ 2,809,486 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (327,995 underlying)
Sale
Class A Common Stock ($0.0001 par value)
2010-03-29$14.00/sh−327,995$4,591,930→ 0 total(indirect: See footnote)
Other
Class B Common Stock (convertible into Class A Common Stock)
2010-03-29+137,550→ 137,550 total(indirect: See footnote)
→ Class A Common Stock ($0.0001 par value) (137,550 underlying)

Footnotes (5)

[F1]Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock ($0.0001 par value) automatically converted into one share of Class B Common Stock ($0.0001 par value) immediately prior to the closing of the Registrant's initial public offering on March 29, 2010.
[F2]Each share of Class B Common Stock is convertible into one share of Class A Common Stock, which is the Registrant's publicly traded stock registered under Section 12(b) of the Securities and Exchange Act of 1934, as amended, 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 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 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]Each share of Class A Common Stock, which is the publicly traded stock, was issued upon conversion of one share of Class B Common Stock at the election of the Reporting Persons.

Documents

1 file

4
rrd270648.xmlPrimary
MVM III FORM 4 #2

Issuer

MAXLINEAR INC

CIK 0001288469

→

Entity typeother

Related Parties

filerCIK 0001134638

Filing Metadata

Form type: 4
Filed: Mar 30, 8:00 PM ET
Accepted: Mar 31, 7:34 PM ET
Size: 33.6 KB

View on SEC.gov