Edgar Filing: Lough Emily

Ownership Submission

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL 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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(Print or Type Responses)

1. Name and Address of Reporting Person ^*

Â Lough Emily

2. Date of Event Requiring Statement (Month/Day/Year)
01/11/2019

3. Issuer Name and Ticker or Trading Symbol
MAXWELL TECHNOLOGIES INC [MXWL]

(Last)

(First)

(Middle)

3888 CALLE FORTUNADA

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

_____ Director	_____ 10% Owner
__X__ Officer (give title below)	_____ Other (specify below)
VP, General Counsel&Secretary

5. If Amendment, Date Original Filed(Month/Day/Year)

(Street)

SAN DIEGO,Â CAÂ 92123

6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

(City)

(State)

(Zip)

Table I - Non-Derivative Securities Beneficially Owned

1.Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	11,674	D	Â

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.			SEC 1473 (7-02)
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

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)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security		6. Nature of Indirect Beneficial Ownership (Instr. 5)
Restricted Stock Units ⁽¹⁾	Â ⁽²⁾	Â ⁽³⁾	Common Stock	11,250	$ 0 ⁽⁴⁾	D	Â
Market Stock Units ⁽⁵⁾	Â ⁽⁶⁾	Â ⁽³⁾	Common Stock	22,500	$ 0 ⁽⁴⁾	D	Â
Restricted Stock Units ⁽¹⁾	Â ⁽⁷⁾	Â ⁽³⁾	Common Stock	9,375	$ 0 ⁽⁴⁾	D	Â
Market Stock Units ⁽⁵⁾	Â ⁽⁸⁾	Â ⁽³⁾	Common Stock	24,376	$ 0 ⁽⁴⁾	D	Â
Restricted Stock Units ⁽¹⁾	Â ⁽⁹⁾	Â ⁽³⁾	Common Stock	5,778	$ 0 ⁽⁴⁾	D	Â
Market Stock Units ⁽⁵⁾	Â ⁽¹⁰⁾	Â ⁽³⁾	Common Stock	22,865	$ 0 ⁽⁴⁾	D	Â
Restricted Stock Units ⁽¹⁾	Â ⁽¹¹⁾	Â ⁽³⁾	Common Stock	500	$ 0 ⁽⁴⁾	D	Â
Stock Options (Right to Buy)	Â ⁽¹²⁾	02/10/2020	Common Stock	3,000	$ 15.71	D	Â
Stock Options (Right to Buy)	Â ⁽¹³⁾	02/24/2019	Common Stock	1,750	$ 6.7	D	Â

Reporting Owners

Reporting Owner Name / Address	Relationships
Reporting Owner Name / Address	Director	10% Owner	Officer	Other
Lough Emily 3888 CALLE FORTUNADA SAN DIEGO,Â CAÂ 92123	Â	Â	Â VP, General Counsel&Secretary	Â

Signatures

/s/ Emily Lough		01/15/2019
^**Signature of Reporting Person		Date

Explanation of Responses:

*	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)	Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock.
(2)	Award vests in annual installments over 4 years following the grant date of February 23, 2018 as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date.
(3)	These units do not expire.
(4)	These units were received as a grant or award for no consideration.
(5)	Each market stock unit represents a right to receive one share of the Issuer's common stock.
(6)	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 following the grant date of February 23, 2018. 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.
(7)	Award vests in annual installments over 4 years following the grant date of March 2, 2017 as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date.
(8)	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 following the grant date of March 2, 2017. 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.
(9)	Award vests in annual installments over 4 years following the grant date of January 15, 2016 as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date.
(10)	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 following the grant date of January 15, 2016. 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.
(11)	Award vests in annual installments over 4 years following the grant date of March 13, 2015 as long as the holder remains in service to the Company. Vested shares will be delivered to the holder shortly after the vesting date.
(12)	Option becomes exercisable in annual installments over 4 years following the grant date of February 10, 2010 as long as holder remains in service to the Company.
(13)	Option becomes exercisable in annual installments over 4 years following the grant date of February 24, 2009 as long as holder remains in service to the Company.

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