1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Restricted Stock Units
|
Â
(1)
|
05/20/2015 |
Class A Common Stock (par value $0.0001)
|
30,000
|
$
(2)
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(3)
|
06/30/2018 |
Class A Common Stock (par value $0.0001)
|
60,000
|
$
8.66
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
Subject to the Reporting Person's continuining to be a service provider (as defined in the 2010 Equity Incentive Plan) through each such date, twenty five percent (25%) of the restriced stock units ("RSUs") subject to the award shall vest on May 20, 2012, and one-sixteenth (1/16th) of the RSUs subject to the award shall vest on each August 20, November 20, February 20, and May 20 thereafter, such that the award shall be fully vested on May 20, 2015. |
(2) |
Each RSU represents a contingent right to receive one share of MaxLinear, Inc. Class A Common Stock. |
(3) |
Subject to the Reporting Person's continuining to be a service provider (as defined in the 2010 Equity Incentive Plan) through each such date, twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on May 2, 2012, and one forty-eighth (1/48th) of the shares subject to the option shall vest and become exercisable each month thereafter, such that the option shall be fully vested and exercisable on the four (4) year anniversary of May 2, 2011. |