LOUGH EMILY

PrivateCIK: 1764799

Location

SAN DIEGO, CA

LOUGH EMILY enters MAXWELL TECHNOLOGIES INC with 11.67K shares plus derivative instruments

Holding both equity and derivatives at entry signals strong long-term conviction in the company.

Direct Derivatives

LOUGH EMILY

Filed: 1/15/2019ACC: 0001209191-19-003772

InsiderLOUGH EMILYCIK 1764799

→

IssuerMAXWELL TECHNOLOGIES INCCIK 319815

Officer· VP, General Counsel&Secretary

Since Jan 2019

11.67K

Baseline shares

100% direct

11.67K

Direct ownership

1 position

101.39K

Derivative underlying

9 instruments

1

Security positions

All direct

Non-Derivative Holdings1

Common Stock

Direct

Shares owned11.67K

Total

11.67K direct11.67K

Security Title	Shares Owned	Ownership Type
Common Stock	11.67K	Direct
Total	11.67K	11.67K direct

Derivative Holdings9

Restricted Stock Units

Direct

Underlying security

Common Stock

Underlying shares

500.00

Shares owned

N/A

Exercise price

0.00

Expiration

—

Exercise window

—

Stock Options (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

1.75K

Shares owned

N/A

Exercise price

6.70

Expiration

—

Exercise window

—

Market Stock Units

Direct

Underlying security

Common Stock

Underlying shares

22.86K

Shares owned

N/A

Exercise price

0.00

Expiration

—

Exercise window

—

Market Stock Units

Direct

Underlying security

Common Stock

Underlying shares

22.50K

Shares owned

N/A

Exercise price

0.00

Expiration

—

Exercise window

—

Stock Options (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

3K

Shares owned

N/A

Exercise price

15.71

Expiration

—

Exercise window

—

Market Stock Units

Direct

Underlying security

Common Stock

Underlying shares

24.38K

Shares owned

N/A

Exercise price

0.00

Expiration

—

Exercise window

—

Restricted Stock Units

Direct

Underlying security

Common Stock

Underlying shares

9.38K

Shares owned

N/A

Exercise price

0.00

Expiration

—

Exercise window

—

Restricted Stock Units

Direct

Underlying security

Common Stock

Underlying shares

11.25K

Shares owned

N/A

Exercise price

0.00

Expiration

—

Exercise window

—

Restricted Stock Units

Direct

Underlying security

Common Stock

Underlying shares

5.78K

Shares owned

N/A

Exercise price

0.00

Expiration

—

Exercise window

—

Total

Underlying

101.39K

Owned

0.00

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Restricted Stock Units Direct	Common Stock	0.00	—	—	500.00	N/A
Stock Options (Right to Buy) Direct	Common Stock	6.70	—	—	1.75K	N/A
Market Stock Units Direct	Common Stock	0.00	—	—	22.86K	N/A
Market Stock Units Direct	Common Stock	0.00	—	—	22.50K	N/A
Stock Options (Right to Buy) Direct	Common Stock	15.71	—	—	3K	N/A
Market Stock Units Direct	Common Stock	0.00	—	—	24.38K	N/A
Restricted Stock Units Direct	Common Stock	0.00	—	—	9.38K	N/A
Restricted Stock Units Direct	Common Stock	0.00	—	—	11.25K	N/A
Restricted Stock Units Direct	Common Stock	0.00	—	—	5.78K	N/A
Total					101.39K	0.00

LOUGH EMILY — Initial Ownership Disclosure (Form 3) Filed Jan 15, 2019 | Finecho