UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Non-Qualified Stock Options (right to buy) | Â (2) | 11/05/2020 | Common Stock | 46,404 | $ 29.19 | D | Â |
Performance Shares | Â (3) | 12/31/2017 | Common Stock | 85,000 | $ 0 | D | Â |
Performance Shares | Â (3) | 08/15/2018 | Common Stock | 4,124 | $ 0 | D | Â |
Performance Shares | Â (3) | 08/15/2019 | Common Stock | 14,492 | $ 0 | D | Â |
Performance Shares | Â (3) | 08/15/2020 | Common Stock | 16,800 | $ 0 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Stratakos Anthony 160 RIO ROBLES SAN JOSE, CA 95134 |
 |  |  SENIOR VICE PRESIDENT, CTO |  |
BY MARK CASPER FOR ANTHONY STRATAKOS | 11/17/2016 | |
**Signature of Reporting Person | Date |
* | 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) | Represents unvested Restricted Stock Units and Common Stock. Excludes .373 fractional share as a result of reinvestment of dividends. |
(2) | 46,404 Non-Qualified Stock Options vesting quarterly from 2/15/2017 to 11/15/2017 subject to the individual's continuous status as an employee such dates |
(3) | Represents the target number of Performance Shares that will be earned, if at all,based on the achievement of certain pre-established performance goals. Each Performance Share Unit represents a contingent right to receive one share of MXIM common stock. |