MXWL Depositi SEC - Maxwell Technologies, Inc.- Relazione annuale, dichiarazione di delega, prospetto informativo

Statistiche di base

CIK

319815

SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Maxwell Technologies, Inc.

SEC Filings (Chronological Order)

Questa pagina fornisce un elenco completo e cronologico dei depositi SEC, esclusi i documenti di proprietà che forniamo altrove.

February 14, 2020	SC 13G/A	MXWL / Maxwell Technologies, Inc. / MAK CAPITAL ONE LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* MAXWELL TECHNOLOGIES, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 577767106 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which
May 30, 2019	15-12B	MXWL / Maxwell Technologies, Inc. 15-12B - - 15-12B 15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-15477 MAXWELL TECHNOLOGIES, INC. (Exact name of registrant as spe
May 16, 2019	POS AM	MXWL / Maxwell Technologies, Inc. POS AM POS AM As filed with the Securities and Exchange Commission on May 16, 2019 Registration No.
May 16, 2019	S-8 POS	MXWL / Maxwell Technologies, Inc. S-8 POS S-8 POS S-8 POS 1 mxwl051619s-8posderegistra.htm S-8 POS As filed with the Securities and Exchange Commission on May 16, 2019 Registration No. 333-226653 Registration No. 333-219790 Registration No. 333-212882 Registration No. 333-205067 Registration No. 333-204040 Registration No. 333-194708 Registration No. 333-168613 Registration No. 333-144060 Registration No. 333-126062 UNITED STATES SECURITIES AND E
May 16, 2019	S-8 POS	MXWL / Maxwell Technologies, Inc. S-8 POS S-8 POS As filed with the Securities and Exchange Commission on May 16, 2019 Registration No.
May 16, 2019	S-8 POS	MXWL / Maxwell Technologies, Inc. S-8 POS S-8 POS S-8 POS 1 mxwl051619s-8posderegistra.htm S-8 POS As filed with the Securities and Exchange Commission on May 16, 2019 Registration No. 333-226653 Registration No. 333-219790 Registration No. 333-212882 Registration No. 333-205067 Registration No. 333-204040 Registration No. 333-194708 Registration No. 333-168613 Registration No. 333-144060 Registration No. 333-126062 UNITED STATES SECURITIES AND E
May 16, 2019	S-8 POS	MXWL / Maxwell Technologies, Inc. S-8 POS S-8 POS As filed with the Securities and Exchange Commission on May 16, 2019 Registration No.
May 16, 2019	S-8 POS	MXWL / Maxwell Technologies, Inc. S-8 POS S-8 POS As filed with the Securities and Exchange Commission on May 16, 2019 Registration No.
May 16, 2019	S-8 POS	MXWL / Maxwell Technologies, Inc. S-8 POS S-8 POS As filed with the Securities and Exchange Commission on May 16, 2019 Registration No.
May 16, 2019	S-8 POS	MXWL / Maxwell Technologies, Inc. S-8 POS S-8 POS S-8 POS 1 mxwl051619s-8posderegistra.htm S-8 POS As filed with the Securities and Exchange Commission on May 16, 2019 Registration No. 333-226653 Registration No. 333-219790 Registration No. 333-212882 Registration No. 333-205067 Registration No. 333-204040 Registration No. 333-194708 Registration No. 333-168613 Registration No. 333-144060 Registration No. 333-126062 UNITED STATES SECURITIES AND E
May 16, 2019	S-8 POS	MXWL / Maxwell Technologies, Inc. S-8 POS S-8 POS As filed with the Securities and Exchange Commission on May 16, 2019 Registration No.
May 16, 2019	S-8 POS	MXWL / Maxwell Technologies, Inc. S-8 POS S-8 POS As filed with the Securities and Exchange Commission on May 16, 2019 Registration No.
May 16, 2019	SC 14D9/A	MXWL / Maxwell Technologies, Inc. SC 14D9/A SC 14D9/A SC 14D9/A 1 mxwl05161914d-9aamendmentn.htm SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14D-9/A (RULE 14d-101) SOLICITATION/RECOMMENDATION STATEMENT UNDER SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 Maxwell Technologies, Inc. (Name of Subject Company) Maxwell Technologies, Inc. (Name of Persons Filing Statement) Common Stock, par value $0.1
May 16, 2019	EX-3.1	Amended and Restated Certificate of Incorporation of Maxwell Technologies, Inc., dated as of May 16, 2019 Exhibit 3.1 RESTATED CERTIFICATE OF INCORPORATION OF MAXWELL TECHNOLOGIES, INC. ARTICLE I The name of the corporation (hereinafter called the “Corporation”) is Maxwell Technologies, Inc. ARTICLE II The address of the registered office of the Corporation in the State of Delaware is Corporation Trust Center, 1209 Orange Street, City of Wilmington, County of New Castle, Delaware 19801. The name of it
May 16, 2019	8-K	Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Material Modification to Rights of Security Holders, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): May 16, 2019 MAXWELL TECHNOLOGIES, INC.
May 16, 2019	EX-3.2	Amended and Restated By-Laws of Maxwell Technologies, Inc., dated as of May 16, 2019 EX-3.2 3 mxwl0516198kex32bylaws.htm EXHIBIT 3.2 Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF MAXWELL TECHNOLOGIES, INC. TABLE OF CONTENTS Page ARTICLE I — MEETINGS OF STOCKHOLDERS 1 1.1 Place of Meetings 1 1.2 Annual Meeting 1 1.3 Special Meeting 1 1.4 Notice of Stockholders’ Meetings 1 1.5 Quorum 2 1.6 Adjourned Meeting; Notice 2 1.7 Conduct of Business 2 1.8 Voting 3 1.9 Stockholder Action by Writ
May 16, 2019	EX-99.(A)(5)(Q)	Tesla Completes Acquisition of Maxwell Technologies EX-(a)(5)(Q) Exhibit (a)(5)(Q) May 16, 2019 Tesla Completes Acquisition of Maxwell Technologies PALO ALTO, Calif, May 16, 2019 – Tesla, Inc.
May 16, 2019	SC TO-T/A	TSLA / Tesla Motors, Inc. SC TO-T/A AMENDMENT NO. 8 Amendment No. 8 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO (RULE 14D-100) Tender Offer Statement Pursuant to Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 (Amendment No. 8) MAXWELL TECHNOLOGIES, INC. (Names of Subject Company) CAMBRIA ACQUISITION CORP. (Offeror) TESLA, INC. (Parent of Offeror) (Names of Filing Persons) COMMON STOCK, $0
May 13, 2019	EX-99.(A)(5)(P)	Tesla Announces Offer Consideration for Previously Announced Offer to Exchange Maxwell Technologies Common Stock for Tesla Common Stock EX-99.(A)(5)(P) 2 d703537dex99a5p.htm EX-(A)(5)(P) Exhibit (a)(5)(P) May 13, 2019 Tesla Announces Offer Consideration for Previously Announced Offer to Exchange Maxwell Technologies Common Stock for Tesla Common Stock PALO ALTO, Calif, May 13, 2019 – Tesla, Inc. (NASDAQ: TSLA) today announced the final offer consideration for its previously announced offer to exchange all outstanding shares of com
May 13, 2019	SC TO-T/A	TSLA / Tesla Motors, Inc. SC TO-T/A AMENDMENT NO. 7 SC TO-T/A 1 d703537dsctota.htm AMENDMENT NO. 7 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO (RULE 14D-100) Tender Offer Statement Pursuant to Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 (Amendment No. 7) MAXWELL TECHNOLOGIES, INC. (Names of Subject Company) CAMBRIA ACQUISITION CORP. (Offeror) TESLA, INC. (Parent of Offeror) (Names of F
May 13, 2019	SC 14D9/A	MXWL / Maxwell Technologies, Inc. SC 14D9/A SC 14D9/A SC 14D9/A 1 mxwl051319amendmentno6sche.htm SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14D-9/A (RULE 14d-101) SOLICITATION/RECOMMENDATION STATEMENT UNDER SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 Maxwell Technologies, Inc. (Name of Subject Company) Maxwell Technologies, Inc. (Name of Persons Filing Statement) Common Stock, par value $0.1
May 13, 2019	425	TSLA / Tesla Motors, Inc. 425 Merger Prospectus 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 13, 2019 Tesla, Inc.
May 13, 2019	EX-99.1	Tesla Announces Offer Consideration for Previously Announced Offer to Exchange Maxwell Technologies Common Stock for Tesla Common Stock Exhibit 99.1 May 13, 2019 Tesla Announces Offer Consideration for Previously Announced Offer to Exchange Maxwell Technologies Common Stock for Tesla Common Stock PALO ALTO, Calif, May 13, 2019 – Tesla, Inc. (NASDAQ: TSLA) today announced the final offer consideration for its previously announced offer to exchange all outstanding shares of common stock of Maxwell Technologies, Inc. for shares of Te
May 8, 2019	SC TO-T/A	TSLA / Tesla Motors, Inc. SC TO-T/A AMENDMENT NO 6 Amendment No 6 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO (RULE 14D-100) Tender Offer Statement Pursuant to Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 (Amendment No. 6) MAXWELL TECHNOLOGIES, INC. (Names of Subject Company) CAMBRIA ACQUISITION CORP. (Offeror) TESLA, INC. (Parent of Offeror) (Names of Filing Persons) COMMON STOCK, $0.
May 1, 2019	10-Q	Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarter ended March 31, 2019 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-15477 MAXWELL TECHNOLOGIES,
April 30, 2019	SC 14D9/A	MXWL / Maxwell Technologies, Inc. SC 14D9/A SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14D-9/A (RULE 14d-101) SOLICITATION/RECOMMENDATION STATEMENT UNDER SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 Maxwell Technologies, Inc. (Name of Subject Company) Maxwell Technologies, Inc. (Name of Persons Filing Statement) Common Stock, par value $0.10 per share (Title of Class of Securities) Common Sto
April 30, 2019	EX-99.(A)(5)(0)	UNITED STATES DISTRICT COURT DISTRICT OF DELAWARE ERIC SABATINI, Individually and On Behalf ) of All Others Similarly Situated, ) ) Plaintiff, ) Case No. ) v. ) JURY TRIAL DEMANDED ) MAXWELL TECHNOLOGIES, INC., ) CLASS ACTION RICHARD BERGMAN, STEVE ) EX-99.(a)(5)(0) Exhibit (a)(5)(O) UNITED STATES DISTRICT COURT DISTRICT OF DELAWARE ERIC SABATINI, Individually and On Behalf ) of All Others Similarly Situated, ) ) Plaintiff, ) Case No. ) v. ) JURY TRIAL DEMANDED ) MAXWELL TECHNOLOGIES, INC., ) CLASS ACTION RICHARD BERGMAN, STEVE ) BILODEAU, JÖRG BUCHHEIM, FRANZ J. ) FINK, BURKHARD GOESCHEL, ILYA ) GOLUBOVICH, JOHN MUTCH, TESLA, ) INC., and CAMB
April 30, 2019	SC TO-T/A	TSLA / Tesla Motors, Inc. SC TO-T/A AMENDMENT NO 5 SC TO-T/A 1 d703537dsctota.htm AMENDMENT NO 5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO (RULE 14D-100) Tender Offer Statement Pursuant to Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 (Amendment No. 5) MAXWELL TECHNOLOGIES, INC. (Names of Subject Company) CAMBRIA ACQUISITION CORP. (Offeror) TESLA, INC. (Parent of Offeror) (Names of Fi
April 8, 2019	SC TO-T/A	TSLA / Tesla Motors, Inc. AMENDMENT NO 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO (RULE 14D-100) Tender Offer Statement Pursuant to Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 (Amendment No. 4) MAXWELL TECHNOLOGIES, INC. (Names of Subject Company) CAMBRIA ACQUISITION CORP. (Offeror) TESLA, INC. (Parent of Offeror) (Names of Filing Persons) COMMON STOCK, $0.10 PAR VALUE (T
April 8, 2019	SC 14D9/A	MXWL / Maxwell Technologies, Inc. SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14D-9/A (RULE 14d-101) SOLICITATION/RECOMMENDATION STATEMENT UNDER SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 Maxwell Technologies, Inc. (Name of Subject Company) Maxwell Technologies, Inc. (Name of Persons Filing Statement) Common Stock, par value $0.10 per share (Title of Class of Securities) Common Sto
April 8, 2019	425	TSLA / Tesla Motors, Inc. 425 (Prospectus) 425 Filed by Tesla, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14d-2 under the Securities Exchange Act of 1934 Subject Company: Maxwell Technologies, Inc. Form S-4 File No.: 333-229749 April 8, 2019 April 8, 2019 Tender Offer Extension for Acquisition of Maxwell Technologies, Inc. PALO ALTO, Calif., April 8, 2019 – Tesla, Inc. (NASDAQ: TSLA) today
April 3, 2019	SC TO-T/A	TSLA / Tesla Motors, Inc. AMENDMENT NO 3 Amendment No 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO (RULE 14D-100) Tender Offer Statement Pursuant to Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 (Amendment No. 3) MAXWELL TECHNOLOGIES, INC. (Names of Subject Company) CAMBRIA ACQUISITION CORP. (Offeror) TESLA, INC. (Parent of Offeror) (Names of Filing Persons) COMMON STOCK, $0.
March 28, 2019	SC 14D9/A	MXWL / Maxwell Technologies, Inc. SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14D-9/A (RULE 14d-101) SOLICITATION/RECOMMENDATION STATEMENT UNDER SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 Maxwell Technologies, Inc. (Name of Subject Company) Maxwell Technologies, Inc. (Name of Persons Filing Statement) Common Stock, par value $0.10 per share (Title of Class of Securities) Common Sto
March 28, 2019	SC TO-T/A	TSLA / Tesla Motors, Inc. AMENDMENT NO 2 SC TO-T/A 1 d703537dsctota.htm AMENDMENT NO 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO (RULE 14D-100) Tender Offer Statement Pursuant to Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 (Amendment No. 2) MAXWELL TECHNOLOGIES, INC. (Names of Subject Company) CAMBRIA ACQUISITION CORP. (Offeror) TESLA, INC. (Parent of Offeror) (Names of Fi
March 28, 2019	425	TSLA / Tesla Motors, Inc. 425 (Prospectus) 425 Filed by Tesla, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14d-2 under the Securities Exchange Act of 1934 Subject Company: Maxwell Technologies, Inc. Form S-4 File No.: 333-229749 March 28, 2019 March 28, 2019 Tender Offer Extension for Acquisition of Maxwell Technologies, Inc. PALO ALTO, Calif., March 28, 2019 – Tesla, Inc. (NASDAQ: TSLA) tod
March 25, 2019	SC 14D9/A	MXWL / Maxwell Technologies, Inc. SC 14D9/A SC 14D9/A 1 mxwl032519amendmentno2sche.htm SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14D-9/A (RULE 14d-101) SOLICITATION/RECOMMENDATION STATEMENT UNDER SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 Maxwell Technologies, Inc. (Name of Subject Company) Maxwell Technologies, Inc. (Name of Persons Filing Statement) Common Stock, par value $0.1
March 15, 2019	EX-99.(A)(5)(F)	UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF CALIFORNIA JOEL ROSENFELD IRA, ) Case No. ‘19CV0413 LAB AGS ) Plaintiff, ) ) ) JURY TRIAL DEMANDED v. ) ) MAXWELL TECHNOLOGIES, INC., ) RICHARD BERGMAN, STEVE ) BILODEAU, JÖRG BUCHHEIM, FRANZ J. ) FIN EX-99.(a)(5)(F) Exhibit (a)(5)(F) Joel E. Elkins (SBN 256020) [email protected] WEISSLAW LLP 9107 Wilshire Blvd ., Suite 450 Beverly Hills, CA 90210 Telephone: 310/208-2800 Facsimile: 310/209-2348 Attorneys for Plaintiff [Additional counsel appear on signature page] UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF CALIFORNIA JOEL ROSENFELD IRA, ) Case No. ‘19CV0413 LAB AGS ) Plaintiff, ) )
March 15, 2019	EX-99.(A)(5)(K)	UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK JACK PHILLIPPS, Individually and on Behalf of All Others Similarly Situated, Civil Action No. Plaintiff, CLASS ACTION COMPLAINT FOR v. VIOLATIONS OF THE FEDERAL SECURITIES LAWS MAXWELL TECHNO EX-99.(a)(5)(K) Exhibit (a)(5)(K) UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK JACK PHILLIPPS, Individually and on Behalf of All Others Similarly Situated, Civil Action No. Plaintiff, CLASS ACTION COMPLAINT FOR v. VIOLATIONS OF THE FEDERAL SECURITIES LAWS MAXWELL TECHNOLOGIES, INC., STEVE BILODEAU, RICHARD BERGMAN, JORG BUCHHEIM, FRANZ J. FINK, BURKHARD JURY TRIAL DEMANDED GOESCHEL,
March 15, 2019	SC TO-T/A	TSLA / Tesla Motors, Inc. AMENDMENT NO 1 Amendment No 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO (RULE 14D-100) Tender Offer Statement Pursuant to Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 (Amendment No. 1) MAXWELL TECHNOLOGIES, INC. (Names of Subject Company) CAMBRIA ACQUISITION CORP. (Offeror) TESLA, INC. (Parent of Offeror) (Names of Filing Persons) COMMON STOCK, $0.
March 15, 2019	EX-99.(A)(5)(H)	UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF CALIFORNIA JONATHAN MANTAK, On Behalf of ) Case No. ‘19CV0451 CAB BLM Himself and All Others Similarly Situated, ) ) ) CLASS ACTION Plaintiff, ) ) CLASS ACTION COMPLAINT v. ) FOR VIOLATIONS OF THE ) F EX-99.(a)(5)(H) Exhibit (a)(5)(H) Joel E. Elkins (SBN 256020) [email protected] WEISSLAW LLP 9107 Wilshire Blvd., Suite 450 Beverly Hills, CA 90210 Telephone: 310/208-2800 Facsimile: 310/209-2348 Attorneys for Plaintiff [Additional counsel appear on signature page] UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF CALIFORNIA JONATHAN MANTAK, On Behalf of ) Case No. ‘19CV0451 CAB BLM Himself
March 15, 2019	EX-99.(A)(5)(J)	IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE DAVIS RODDEN, on behalf of himself and all other similarly situated stockholders of MAXWELL TECHNOLOGIES, INC., Plaintiff, v. C.A. No. __________ STEVEN BILODEAU, RICHARD BERGMAN, JORG BUCHHEIM, FRANZ EX-99.(a)(5)(J) Exhibit (a)(5)(J) EFiled: Mar 04 2019 03:40PM EST Transaction ID 63022266 Case No. 2019-0176- IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE DAVIS RODDEN, on behalf of himself and all other similarly situated stockholders of MAXWELL TECHNOLOGIES, INC., Plaintiff, v. C.A. No. STEVEN BILODEAU, RICHARD BERGMAN, JORG BUCHHEIM, FRANZ J. FINK, BURKHARD GOESCHEL, ILYA GOLUBOVICH and JO
March 15, 2019	EX-99.(A)(5)(I)	UNITED STATES DISTRICT COURT DISTRICT OF DELAWARE JOHN SOLAK, Individually and On Behalf ) of All Others Similarly Situated, ) ) Plaintiff, ) Case No. ) v. ) JURY TRIAL DEMANDED ) MAXWELL TECHNOLOGIES, INC., ) CLASS ACTION RICHARD BERGMAN, STEVE ) BI EX-99.(a)(5)(I) Exhibit (a)(5)(I) UNITED STATES DISTRICT COURT DISTRICT OF DELAWARE JOHN SOLAK, Individually and On Behalf ) of All Others Similarly Situated, ) ) Plaintiff, ) Case No. ) v. ) JURY TRIAL DEMANDED ) MAXWELL TECHNOLOGIES, INC., ) CLASS ACTION RICHARD BERGMAN, STEVE ) BILODEAU, JÖRG BUCHHEIM, FRANZ J. ) FINK, BURKHARD GOESCHEL, ILYA ) GOLUBOVICH, JOHN MUTCH, TESLA, ) INC., and CAMBRIA
March 15, 2019	EX-99.(A)(5)(G)	UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF CALIFORNIA FRANCK PRISSERT, Civil Action No. ‘19CV0429 L BGS Plaintiff, COMPLAINT v. DEMAND FOR JURY TRIAL MAXWELL TECHNOLOGIES, INC., STEVE BILODEAU, FRANZ J FINK, RICHARD BERGMAN, JÖRG 1. VI EX-99.(a)(5)(G) Exhibit (a)(5)(G) David E. Bower (SBN 119546) MONTEVERDE & ASSOCIATES PC 600 Corporate Pointe, Suite 1170 Culver City, CA 90230 Tel: (213) 446-6652 Fax: (212) 202-7880 Counsel for Plaintiff UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF CALIFORNIA FRANCK PRISSERT, Civil Action No. ‘19CV0429 L BGS Plaintiff, COMPLAINT v. DEMAND FOR JURY TRIAL MAXWELL TECHNOLOGIES, INC., S
March 15, 2019	EX-99.(A)(5)(E)	UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF CALIFORNIA SHIVA STEIN, ) Case No. ‘19CV395 LAB RBB ) Plaintiff, ) ) COMPLAINT FOR VIOLATIONS v. ) OF SECTIONS 14(e), 14(d) AND ) 20(a) OF THE SECURITIES MAXWELL TECHNOLOGIES, INC., ) EXCHANGE ACT OF EX-99.(a)(5)(E) Exhibit (a)(5)(E) RACHELE R. BYRD (SBN 190634) MARISA C. LIVESAY (SBN 223247) BRITTANY N. DEJONG (SBN 258766) WOLF HALDENSTEIN ADLER FREEMAN & HERZ LLP 750 B Street, Suite 1820 San Diego, CA 92101 Telephone: (619) 239-4599 Facsimile: (619) 234-4599 [email protected] [email protected] [email protected] Attorneys for Plaintiff [Additional Counsel on Signature Page] UNITED STATES DISTRICT
March 15, 2019	EX-99.(A)(5)(D)	IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF CALIFORNIA : Civil Action No. ‘19CV0377 LAB JLB : KIP LEGGETT, on behalf of himself and : all others similarly situated, : : CLASS ACTION COMPLAINT FOR Plaintiff, : BREACH OF FIDUCIARY EX-99.(a)(5)(D) Exhibit (a)(5)(D) BRODSKY & SMITH, LLC Evan J. Smith, Esquire (SBN 242352) [email protected] Ryan P. Cardona, Esquire (SBN 302113) [email protected] 9595 Wilshire Boulevard, Suite 900 Beverly Hills, CA 90212 Phone: (877) 534-2590 Facsimile: (310) 247-0160 Attorneys for Plaintiff IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF CALIFORNIA : Civil Action
March 15, 2019	SC 14D9/A	MXWL / Maxwell Technologies, Inc. SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14D-9/A (RULE 14d-101) SOLICITATION/RECOMMENDATION STATEMENT UNDER SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 Maxwell Technologies, Inc. (Name of Subject Company) Maxwell Technologies, Inc. (Name of Persons Filing Statement) Common Stock, par value $0.10 per share (Title of Class of Securities) Common Sto
March 15, 2019	425	TSLA / Tesla Motors, Inc. 425 (Prospectus) 425 Filed by Tesla, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14d-2 under the Securities Exchange Act of 1934 Subject Company: Maxwell Technologies, Inc. Form S-4 File No.: 333-229749 Date: March 15, 2019 March 15, 2019 Tender Offer Extension for Acquisition of Maxwell Technologies, Inc. PALO ALTO, Calif., March 15, 2019 – Tesla, Inc. (NASDAQ: TSL
March 15, 2019	CORRESP	MXWL / Maxwell Technologies, Inc. CORRESP - - CORRESP 1 filename1.htm DLA Piper LLP (US) 4365 Executive Drive, Suite 1100 San Diego, California 92121-2133 www.dlapiper.com Larry W. Nishnick [email protected] T 858.677.1414 F 858.638.5014 March 15, 2019 Nicholas P. Panos Senior Special Counsel Office of Mergers and Acquisitions Division of Corporation Finance U.S. Securities and Exchange Commission Division of Corporate Finance 100 F
March 1, 2019	SC 13G	MXWL / Maxwell Technologies, Inc. / VERNIER CAPITAL PARTNERS, LP Passive Investment SC 13G 1 d820634613g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Maxwell Technologies, Inc. (Name of Issuer) Common stock, $0.10 par value (Title of Class of Securities) 577767106 (CUSIP Number) February 20, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to
February 28, 2019	425	MXWL / Maxwell Technologies, Inc. 425 (Prospectus) 425 1 mxwl022719425.htm 425 Filed by Maxwell Technologies, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14d-9 under the Securities Exchange Act of 1934 Subject Company: Maxwell Technologies, Inc. (Commission File No. 001-15477) On February 27, 2019, Emily Lough, Vice President, General Counsel & Secretary of Maxwell Technologies, Inc. (“Maxwell”), se
February 22, 2019	SC 13G	MXWL / Maxwell Technologies, Inc. / Man Group plc Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* MAXWELL TECHNOLOGIES INC. (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 577767106 (CUSIP Number) February 15, 2019 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the
February 21, 2019	425	MXWL / Maxwell Technologies, Inc. 425 (Prospectus) Filed by Maxwell Technologies, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14d-9 under the Securities Exchange Act of 1934 Subject Company: Maxwell Technologies, Inc. (Commission File No. 001-15477) On February 20, 2019, Franz Fink, President and Chief Executive Officer of Maxwell Technologies, Inc. (“Maxwell”), sent the following email to certain e
February 20, 2019	SC 14D9	MXWL / Maxwell Technologies, Inc. SC 14D9 SC 14D9 1 d634557dsc14d9.htm SC 14D9 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14D-9 (RULE 14d-101) SOLICITATION/RECOMMENDATION STATEMENT UNDER SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 Maxwell Technologies, Inc. (Name of Subject Company) Maxwell Technologies, Inc. (Name of Persons Filing Statement) Common Stock, par value $0.1
February 20, 2019	SC TO-T	TSLA / Tesla Motors, Inc. SC TO-T SC TO-T 1 d703537dsctot.htm SC TO-T UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO (RULE 14D-100) Tender Offer Statement Pursuant to Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 MAXWELL TECHNOLOGIES, INC. (Names of Subject Company) CAMBRIA ACQUISITION CORP. (Offeror) TESLA, INC. (Parent of Offeror) (Names of Filing Persons) COMMON STOCK,
February 20, 2019	EX-99.(A)(5)	Notice of Offer by Cambria Acquisition Corp. a direct wholly-owned subsidiary of Tesla, Inc. to exchange each outstanding share of common stock of Maxwell Technologies, Inc. $4.75 in fair market value of shares of common stock of Tesla, Inc. (subject EX-(a)(5) Exhibit (a) 5 A registration statement relating to the securities proposed to be issued in the Offer (as defined below) has been filed with the U.
February 14, 2019	425	MXWL / Maxwell Technologies, Inc. 425 (Prospectus) Filed by Maxwell Technologies, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14d-9 under the Securities Exchange Act of 1934 Subject Company: Maxwell Technologies, Inc. (Commission File No. 001-15477) Maxwell Technologies Announces Filing of 2018 Form 10-K Company will not be hosting a teleconference and webcast to discuss its results of operations an
February 14, 2019	10-K	Form 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-15477 MAXWELL TECHNOL
February 14, 2019	EX-10.33	Second Amendment to Amended and Restated Loan and Security Agreement, dated February 14, 2019, by and between Maxwell Technologies, Inc. and East West Bank EXHIBIT 10.33 SECOND AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT This Second Amendment to Amended and Restated Loan and Security Agreement (this “Amendment”) is entered into as of February 14, 2019, by and between EAST WEST BANK (“Bank”) and MAXWELL TECHNOLOGIES, INC. (“Borrower”). RECITALS WHEREAS, Borrower and Bank are parties to the Amended and Restated Loan and Security Agree
February 14, 2019	EX-21.1	List of Subsidiaries of Registrant EXHIBIT 21.1 Subsidiaries of Maxwell Technologies, Inc. ENTITY STATE/COUNTRY OF INCORPORATION Maxwell Technologies SA Switzerland Maxwell Technologies Korea Co., Ltd. (formerly Nesscap Korea Co., Ltd) Korea I-Bus/Phoenix, Inc. California MML Acquisition, Inc. Delaware Maxwell Holding GmbH (formerly I-Bus/Phoenix, GmbH) Germany Maxwell Technologies GmbH Germany Maxwell Technologies Hong Kong Ltd Ho
February 14, 2019	SC 13G/A	MXWL / Maxwell Technologies, Inc. / MAK CAPITAL ONE LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* MAXWELL TECHNOLOGIES, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 577767106 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which
February 13, 2019	SC 13G/A	MXWL / Maxwell Technologies, Inc. / Neuberger Berman Group LLC - NONE Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 03)* MAXWELL TECHNOLOGIES INC (Name of Issuer) Common (Title of Class of Securities) 577767106 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w
February 12, 2019	425	MXWL / Maxwell Technologies, Inc. 425 (Prospectus) 425 Filed by Maxwell Technologies, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14d-9 under the Securities Exchange Act of 1934 Subject Company: Maxwell Technologies, Inc. (Commission File No. 001-15477) On February 11, 2019, Franz Fink, President and Chief Executive Officer of Maxwell Technologies, Inc. (“Maxwell”), sent the following email to all e
February 9, 2019	425	MXWL / Maxwell Technologies, Inc. 425 (Prospectus) 425 Filed by Maxwell Technologies, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14d-9 under the Securities Exchange Act of 1934 Subject Company: Maxwell Technologies, Inc. (Commission File No. 001-15477) On February 8, 2019, Franz Fink, President and Chief Executive Officer of Maxwell Technologies, Inc. (“Maxwell”), sent the following email to the em
February 8, 2019	SC 13G/A	MXWL / Maxwell Technologies, Inc. / VIEX Capital Advisors, LLC - AMENDMENT NO. 1 TO THE SCHEDULE 13G Passive Investment SC 13G/A 1 sc13ga11011401002082019.htm AMENDMENT NO. 1 TO THE SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1)1 Maxwell Technologies, Inc. (Name of Issuer) Common Stock, $0.10
February 4, 2019	425	MXWL / Maxwell Technologies, Inc. 425 (Prospectus) 425 Filed by Maxwell Technologies, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14d-9 under the Securities Exchange Act of 1934 Subject Company: Maxwell Technologies, Inc. (Commission File No. 001-15477) February 4, 2019 To all Maxwell Technologies Employees, Today marks an important time in our Company’s history, as we just announced that Maxwell ha
February 4, 2019	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): February 3, 2019 MAXWELL TECHNOLOGIES, INC.
February 4, 2019	EX-10.1	Tender and Support Agreement, dated as of February 3, 2019, by and among Tesla, Inc., Cambria Acquisition Corp. and directors and certain officers of Maxwell Technologies, Inc. and I2BF Energy, Limited. EX-10.1 3 d702690dex101.htm EX-10.1 Exhibit 10.1 TENDER AND SUPPORT AGREEMENT This TENDER AND SUPPORT AGREEMENT (this “Agreement”), dated as of February 3, 2019, is entered into by and among Tesla, Inc., a Delaware corporation (“Parent”), Cambria Acquisition Corp., a Delaware corporation and a wholly owned subsidiary of Parent (“Purchaser”), and each of the persons set forth on Schedule A hereto (
February 4, 2019	EX-99.1	Maxwell Technologies Announces Definitive Merger Agreement with Tesla, Inc. Maxwell shares valued at $4.75 in upcoming exchange offer EX-99.1 Exhibit 99.1 Maxwell Technologies Announces Definitive Merger Agreement with Tesla, Inc. Maxwell shares valued at $4.75 in upcoming exchange offer San Diego (February 4, 2019)—Maxwell Technologies, Inc. (Nasdaq: MXWL or the “Company” or “Maxwell”), a leading developer and manufacturer of energy solutions, today announced it has entered into a definitive agreement (the “Merger Agreement”) t
February 4, 2019	EX-2.1	Agreement and Plan of Merger, dated February 3, 2019, by and between Maxwell Technologies, Inc., Tesla, Inc. and Cambria Acquisition Corp. EX-2.1 2 d702690dex21.htm EX-2.1 Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among TESLA, INC., CAMBRIA ACQUISITION CORP., and MAXWELL TECHNOLOGIES, INC., dated as of February 3, 2019 TABLE OF CONTENTS Page ARTICLE I THE OFFER 2 Section 1.1. The Offer 2 Section 1.2. Company Actions 8 ARTICLE II THE MERGER 10 Section 2.1. The Merger 10 Section 2.2. The Closing 10 Section 2.3.
February 4, 2019	425	MXWL / Maxwell Technologies, Inc. FORM 8-K (Prospectus) 425 1 d702690d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): February 3, 2019 MAXWELL TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-15477 95-2390133 (State or Other Jurisdicti
February 4, 2019	EX-10.1	Tender and Support Agreement, dated as of February 3, 2019, by and among Tesla, Inc., Cambria Acquisition Corp. and directors and certain officers of Maxwell Technologies, Inc. and I2BF Energy, Limited. EX-10.1 Exhibit 10.1 TENDER AND SUPPORT AGREEMENT This TENDER AND SUPPORT AGREEMENT (this “Agreement”), dated as of February 3, 2019, is entered into by and among Tesla, Inc., a Delaware corporation (“Parent”), Cambria Acquisition Corp., a Delaware corporation and a wholly owned subsidiary of Parent (“Purchaser”), and each of the persons set forth on Schedule A hereto (each, a “Stockholder”). All
February 4, 2019	EX-2.1	Agreement and Plan of Merger, dated February 3, 2019, by and between Maxwell Technologies, Inc., Tesla, Inc. and Cambria Acquisition Corp. EX-2.1 Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among TESLA, INC., CAMBRIA ACQUISITION CORP., and MAXWELL TECHNOLOGIES, INC., dated as of February 3, 2019 TABLE OF CONTENTS Page ARTICLE I THE OFFER 2 Section 1.1. The Offer 2 Section 1.2. Company Actions 8 ARTICLE II THE MERGER 10 Section 2.1. The Merger 10 Section 2.2. The Closing 10 Section 2.3. Effective Time 10 Section
February 4, 2019	EX-99.1	Maxwell Technologies Announces Definitive Merger Agreement with Tesla, Inc. Maxwell shares valued at $4.75 in upcoming exchange offer EX-99.1 Exhibit 99.1 Maxwell Technologies Announces Definitive Merger Agreement with Tesla, Inc. Maxwell shares valued at $4.75 in upcoming exchange offer San Diego (February 4, 2019)—Maxwell Technologies, Inc. (Nasdaq: MXWL or the “Company” or “Maxwell”), a leading developer and manufacturer of energy solutions, today announced it has entered into a definitive agreement (the “Merger Agreement”) t
January 15, 2019	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): January 15, 2019 MAXWELL TECHNOLOGIES, INC.
January 15, 2019	EX-99.1	21st Annual Needham Growth Conference January 16, 2019 1 Safe Harbor Statements made during this presentation that are “forward-looking statements” are based on current expectations and assumptions that are subject to risks and uncertainties and are mxwl11519ex991conference 21st Annual Needham Growth Conference January 16, 2019 1 Safe Harbor Statements made during this presentation that are “forward-looking statements” are based on current expectations and assumptions that are subject to risks and uncertainties and are subject to the Safe Harbor provisions created by the Private Securities Litigation Reform Act of 1995.
December 26, 2018	8-K	Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets 8-K 1 mxwl1226188kitems201901.htm 8-K HV SALE PRO FORMA UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): December 19, 2018 MAXWELL TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-15477 95-2390133
December 26, 2018	EX-99.1	Maxwell Technologies, Inc. Unaudited Pro Forma Financial Statements Exhibit 99.1 Maxwell Technologies, Inc. Unaudited Pro Forma Financial Statements On December 19, 2018 Maxwell Technologies, Inc. (the “Company”) entered into a Share Purchase Agreement (the “Share Purchase Agreement”) with RN C Holding SA, a special purpose holding entity and affiliate of Renaissance Investment Foundation, (“Renaissance”), providing for the sale of 100% of the shares of Maxwell’s
December 19, 2018	EX-99.1	HIGH VOLTAGE Product Line Divestiture December 19, 2018 1 Safe Harbor Statements made during this presentation that are “forward-looking statements” are based on current expectations and assumptions that are subject to risks and uncertainties and are EX-99.1 3 mxwl121918kex991presenta.htm EXHIBIT 99.1 PRESENTATION HIGH VOLTAGE Product Line Divestiture December 19, 2018 1 Safe Harbor Statements made during this presentation that are “forward-looking statements” are based on current expectations and assumptions that are subject to risks and uncertainties and are subject to the Safe Harbor provisions created by the Private Securities Litigation R
December 19, 2018	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): December 19, 2018 MAXWELL TECHNOLOGIES, INC.
December 19, 2018	EX-2.1	Share Purchase Agreement, dated December 19, 2018, by and between Maxwell Technologies, Inc. and RN C Holding SA Exhibit 2.1 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETED ASTERISKS [****], HAS BEEN OMITTED AND FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED. SHARE PURCHASE AGREEMENT by and between MAXWELL TECHNOLOGIES, INC., a company incorporated under the laws of the State of Delaware,
December 19, 2018	EX-99.2	Maxwell Technologies Completes Sale of its High Voltage Product Line to Renaissance Investment Foundation for $55.1 Million Plus Up to $15 Million in Future Pay-outs Divestiture Signals Move to Heighten Focus on Energy Systems Technology for Electric EX-99.2 4 mxwl1219188kex992pressrele.htm EXHIBIT 99.2 PRESS RELEASE Exhibit 99.2 Maxwell Technologies Completes Sale of its High Voltage Product Line to Renaissance Investment Foundation for $55.1 Million Plus Up to $15 Million in Future Pay-outs Divestiture Signals Move to Heighten Focus on Energy Systems Technology for Electric Vehicles San Diego, Calif. and Lausanne, Switzerland (December 19, 2
November 7, 2018	10-Q	MXWL / Maxwell Technologies, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarter ended September 30, 2018 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-15477 MAXWELL TECHNOLOG
November 6, 2018	EX-99.1	Maxwell Reports 2018 Third Quarter Results Results in Line with Prior Guidance for the Period; Company Provides Business Outlook for 2018 Fourth Quarter Exhibit 99.1 FOR IMMEDIATE RELEASE Investor Contact: Kimberly Tom, CFA (858) 503-3368 [email protected] Maxwell Reports 2018 Third Quarter Results Results in Line with Prior Guidance for the Period; Company Provides Business Outlook for 2018 Fourth Quarter SAN DIEGO - November 6, 2018 - Maxwell Technologies, Inc. (NASDAQ: MXWL), a leading developer and manufacturer of energy storage and power deliver
November 6, 2018	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): November 6, 2018 MAXWELL TECHNOLOGIES, INC.
October 10, 2018	SC 13G/A	MXWL / Maxwell Technologies, Inc. / VAN DEN BERG MANAGEMENT I, INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 6 )* Maxwell Technologies, Inc. (Name of Issuer) Common stock, $0.10 par value per share (Title of Class of Securities) 577767106 (CUSIP Number) James D. Bril
August 14, 2018	SC 13G	MXWL / Maxwell Technologies, Inc. / VIEX Capital Advisors, LLC Passive Investment SC 13G 1 sc13g1011401008142018.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. )1 Maxwell Technologies, Inc. (Name of Issuer) Common Stock, $0.10 par value per share (Title of Class of S
August 14, 2018	EX-99.1	JOINT FILING AGREEMENT Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13G dated August 14, 2018 (including amendments thereto) with respect to the Common Stock of Maxwell Technologies, Inc. This Joint Filing Agreement shall be filed as
August 9, 2018	EX-99.1	Maxwell Commences Public Offering of Common Stock EX-99.1 4 d599381dex991.htm EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Investor Contact: Kimberly Tom , CFA (858) 503-3368 [email protected] Maxwell Commences Public Offering of Common Stock SAN DIEGO – August 7, 2018 - Maxwell Technologies, Inc. (Nasdaq: MXWL) (“Maxwell”), a leading developer and manufacturer of capacitor energy storage and power delivery solutions, today announced that it has comme
August 9, 2018	EX-1.1	Underwriting Agreement, dated August 8, 2018, by and between Maxwell Technologies, Inc. and Barclays Capital Inc. EX-1.1 Exhibit 1.1 6,600,000 Shares Maxwell Technologies, Inc. Common Stock UNDERWRITING AGREEMENT August 8, 2018 BARCLAYS CAPITAL INC. As Representative of the several Underwriters named in Schedule I attached hereto c/o Barclays Capital Inc. 745 Seventh Avenue New York, New York 10019 Ladies and Gentlemen: Maxwell Technologies, Inc., a Delaware corporation (the “Company”), proposes to sell 6,600
August 9, 2018	EX-99.2	Maxwell Announces Pricing of Upsized Public Offering of Common Stock EX-99.2 5 d599381dex992.htm EX-99.2 Exhibit 99.2 FOR IMMEDIATE RELEASE Investor Contact: Kimberly Tom , CFA (858) 503-3368 [email protected] Maxwell Announces Pricing of Upsized Public Offering of Common Stock SAN DIEGO – August 8, 2018 - Maxwell Technologies, Inc. (Nasdaq: MXWL) (“Maxwell”), a leading developer and manufacturer of capacitor energy storage and power delivery solutions, today announce
August 9, 2018	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 8-K 1 d599381d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): August 7, 2018 MAXWELL TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 1-15477 95-2390133 (State or Other Jurisdiction o
August 9, 2018	424B5	6,600,000 Shares Common Stock 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-221478 PROSPECTUS SUPPLEMENT (To Prospectus dated November 16, 2017) 6,600,000 Shares Common Stock We are offering 6,600,000 shares of our common stock, par value $0.10 per share. Our common stock is listed on The Nasdaq Global Market under the symbol “MXWL.” On August 7, 2018, the last reported sale price of our common
August 7, 2018	424B1	Subject to Completion, dated August 7, 2018 424B1 1 d539990d424b1.htm 424B1 Table of Contents Filed Pursuant to Rule 424(b)(1) Registration No. 333-221478 The information in this preliminary prospectus supplement is not complete and may be changed. Neither this preliminary prospectus supplement nor the accompanying prospectus is an offer to sell these securities, and we are not soliciting an offer to buy these securities, in any jurisdictio
August 7, 2018	S-8	MXWL / Maxwell Technologies, Inc. S-8 As filed with the Securities and Exchange Commission on August 7, 2018 Registration No.
August 7, 2018	EX-10.1	First Amendment to Amended and Restated Loan and Security Agreement, dated August 7, 2018, by and between Maxwell Technologies, Inc. and East West Bank. EX-10.1 2 mxwl06301810qex101ewbamend.htm EXHIBIT 10.1 Exhibit 10.1 FIRST AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT This First Amendment to Amended and Restated Loan and Security Agreement (this “Amendment”) is entered into as of August 2, 2018, by and between EAST WEST BANK (“Bank”) and MAXWELL TECHNOLOGIES, INC. (“Borrower”). RECITALS WHEREAS, Borrower and Bank are parties to
August 7, 2018	10-Q	MXWL / Maxwell Technologies, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarter ended June 30, 2018 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-15477 MAXWELL TECHNOLOGIES,
August 6, 2018	EX-99.1	Maxwell Reports Second Quarter 2018 Results and Provides Business Outlook for Third Quarter 2018 Exhibit 99.1 FOR IMMEDIATE RELEASE Investor Contact: Kimberly Tom, CFA (858) 503-3368 [email protected] Maxwell Reports Second Quarter 2018 Results and Provides Business Outlook for Third Quarter 2018 Note: A webcast of Maxwell's conference call will be available at 5:00 p.m. EDT today at http://investors.maxwell.com. SAN DIEGO - August 6, 2018 - Maxwell Technologies, Inc. (NASDAQ: MXWL) today report
August 6, 2018	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): August 6, 2018 MAXWELL TECHNOLOGIES, INC.
June 15, 2018	SC 13G	MXWL / Maxwell Technologies, Inc. / MAK CAPITAL ONE LLC - SCHEDULE 13G Passive Investment SC 13G 1 maxwell13g.htm SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* MAXWELL TECHNOLOGIES, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 577767106 (CUSIP Number) June 6, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designa
June 15, 2018	EX-1	JOINT FILING AGREEMENT EX-1 2 ex1.htm EXHIBIT 1 EXHIBIT 1 JOINT FILING AGREEMENT This Joint Filing Agreement, dated as of June 15, 2018, is by and among MAK Capital One L.L.C., Michael A. Kaufman, MAK Capital Fund LP and MAK-ro Capital Master Fund LP. Pursuant to and in accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, each of the filers hereby agree to be responsible for t
May 31, 2018	EX-1.01	Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form SD. Exhibit 1.01 Maxwell Technologies, Inc. Conflict Minerals Report For the Year Ended December 31, 2017 This Conflict Minerals Report (“Report”) for the year ended December 31, 2017 has been prepared in accordance with Rule 13p-1 of the Securities Exchange Act of 1934 (“Rule 13p-1”). Certain terms in this Report are defined in Rule 13p-1, and the reader is referred to this Rule and to Release No. 34
May 31, 2018	SD	MXWL / Maxwell Technologies, Inc. SD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM SD Specialized Disclosure Report MAXWELL TECHNOLOGIES, INC.
May 18, 2018	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): May 15, 2018 MAXWELL TECHNOLOGIES, INC.
May 9, 2018	10-Q	MXWL / Maxwell Technologies, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarter ended March 31, 2018 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-15477 MAXWELL TECHNOLOGIES,
May 9, 2018	EX-10.1	Strategic Supplier Agreement, dated May 7, 2018, by and between Maxwell Technologies, Inc. and Kaifa Technology (H.K.) Limited. EXHIBIT 10.1 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY ASTERISKS ***, HAS BEEN OMITTED AND FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED. STRATEGIC SUPPLIER AGREEMENT STRATEGIC SUPPLIER AGREEMENT Between KAIFA TECHNOLOGY (H.K.) LIMITED And MAXWELL TECHNOLOGIES, INC. KAIFA – MAXWELL
May 8, 2018	EX-99.1	Maxwell Reports First Quarter 2018 Results and Provides Business Outlook for Second Quarter 2018 ~ Announces Significant Partnership with Geely/Volvo ~ EX-99.1 3 mxwl033118ex991earningspre.htm EXHIBIT 99.1 EARNINGS PRESS RELEASE Exhibit 99.1 FOR IMMEDIATE RELEASE Investor Contact: Kimberly Tom, CFA (858) 503-3368 [email protected] Maxwell Reports First Quarter 2018 Results and Provides Business Outlook for Second Quarter 2018 ~ Announces Significant Partnership with Geely/Volvo ~ Note: A webcast of Maxwell's conference call will be available at 5:00
May 8, 2018	EX-10.1	Amended and Restated Loan and Security Agreement, dated May 8, 2018, by and between Maxwell Technologies, Inc. and East West Bank. EX-10.1 2 mxwl0331188kex101ewbamende.htm EXHIBIT 10.1 EWB AGREEMENT EXHIBIT 10.1 AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT This AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (this “Agreement”) is entered into as of May 8, 2018 (the “Effective Date”), by and between EAST WEST BANK (“Bank”) and MAXWELL TECHNOLOGIES, INC., a Delaware corporation (“Borrower”). RECITALS A.Borrower and Bank ar
May 8, 2018	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): May 8, 2018 MAXWELL TECHNOLOGIES, INC.
April 18, 2018	EX-99.1	Maxwell Technologies Reports Preliminary First Quarter 2018 Revenue EX-99.1 2 mxwl0418188kex991pressrele.htm EXHIBIT 99.1 PRESS RELEASE PRELIMINARY REVENUE Exhibit 99.1 Maxwell Technologies Reports Preliminary First Quarter 2018 Revenue SAN DIEGO – April 18, 2018 - Maxwell Technologies, Inc. (NASDAQ: MXWL), a leading developer and manufacturer of capacitor-based energy storage and power delivery solutions, today announced preliminary unaudited revenue results for
April 18, 2018	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 18, 2018 MAXWELL TECHNOLOGIES, INC.
April 5, 2018	DEFA14A	MXWL / Maxwell Technologies, Inc. DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State
April 5, 2018	DEF 14A	Maxwell Technologies, Inc. 2013 Omnibus Equity Incentive Plan. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ý Definitive Proxy State
March 14, 2018	EX-99.1	Maxwell Technologies Announces Date for 2018 Annual Meeting of Stockholders EX-99.1 2 mxwl0314188kex991annualmee.htm EXHIBIT 99.1 ANNUAL MEETING DATE PRESS RELEASE Exhibit 99.1 Maxwell Technologies Announces Date for 2018 Annual Meeting of Stockholders SAN DIEGO - March 14, 2018 - Maxwell Technologies, Inc. (NASDAQ: MXWL), a leading developer and manufacturer of capacitor-based energy storage and power delivery solutions, announced today that the 2018 Annual Meeting of St
March 14, 2018	8-K	Financial Statements and Exhibits, Other Events 8-K 1 mxwl0314188kitem801annualm.htm 8-K ANNUAL MEETING DATE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): March 14, 2018 MAXWELL TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 1-15477 95-2390133
February 16, 2018	EX-3.1	Composite Certificate of Incorporation of Registrant. Exhibit 3.1 COMPOSITE CERTIFICATE OF INCORPORATION OF MAXWELL TECHNOLOGIES, INC. a Delaware corporation FIRST: The name of the corporation is Maxwell Technologies, Inc. (“Corporation”). SECOND: The address of the registered office of the Corporation in the State of Delaware is Corporation Trust Center, 1209 Orange Street, in the City of Wilmington, County of New Castle. The name and address of the
February 16, 2018	10-K	MXWL / Maxwell Technologies, Inc. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-15477 MAXWELL TECHNOL
February 16, 2018	EX-21.1	List of Subsidiaries of Registrant EXHIBIT 21.1 Subsidiaries of Maxwell Technologies, Inc. ENTITY STATE/COUNTRY OF INCORPORATION Maxwell Technologies SA Switzerland Nesscap Korea Co., Ltd Korea Maxwell Technologies Systems Division, Inc. California I-Bus/Phoenix, Inc. California MML Acquisition, Inc. Delaware Maxwell Holding GmbH (formerly I-Bus/Phoenix, GmbH) Germany Maxwell Technologies GmbH Germany Nesscap Energy GmbH Germany Ma
February 15, 2018	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): February 15, 2018 MAXWELL TECHNOLOGIES, INC.
February 15, 2018	EX-99.1	Maxwell Reports Fourth Quarter and Full Year 2017 Results ~ Provides Business Outlook for First Quarter 2018 ~ Exhibit Exhibit 99.1 FOR IMMEDIATE RELEASE Investor Contact: Kimberly Tom, CFA (858) 503-3368 [email protected] Maxwell Reports Fourth Quarter and Full Year 2017 Results ~ Provides Business Outlook for First Quarter 2018 ~ Note: A webcast of Maxwell's conference call will be available at 5:00 p.m. EST today at http://investors.maxwell.com. SAN DIEGO - February 15, 2018 - Maxwell Technologies, Inc. (N
February 15, 2018	SC 13G/A	MXWL / Maxwell Technologies, Inc. / Neuberger Berman Group LLC - NONE Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 02)* MAXWELL TECHNOLOGIES INC (Name of Issuer) Common (Title of Class of Securities) 577767106 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w
February 15, 2018	SC 13G/A	MXWL / Maxwell Technologies, Inc. / Neuberger Berman Group LLC - NONE Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 02)* MAXWELL TECHNOLOGIES INC (Name of Issuer) Common (Title of Class of Securities) 577767106 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w
February 14, 2018	SC 13G/A	MXWL / Maxwell Technologies, Inc. / VAN DEN BERG MANAGEMENT I, INC Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 5)* Maxwell Technologies, Inc. (Name of Issuer) Common Stock, Par Value $0.10 (Title of Class of Securities) 577767106 (CUSIP Number) December 31, 2017 (Date
November 15, 2017	CORRESP	MXWL / Maxwell Technologies, Inc. ESP Document November 15, 2017 VIA EDGAR United States Securities and Exchange Commission Division of Corporate Finance 100 F Street, N.
November 9, 2017	S-3	MXWL / Maxwell Technologies, Inc. S-3 Document As filed with the Securities and Exchange Commission on November 9, 2017 Registration No.
November 9, 2017	EX-4.7	Form of Subordinated Indenture EX-4.7 3 mxwl110917s-3ex47formofsub.htm EXHIBIT 4.7 Exhibit 4.7 MAXWELL TECHNOLOGIES, INC. ISSUER AND [TRUSTEE], TRUSTEE INDENTURE DATED AS OF , 20 SUBORDINATED DEBT SECURITIES TABLE OF CONTENTS ARTICLE 1 DEFINITIONS Section 1.01 Definitions of Terms ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES Section 2.01 Designation and Terms of Securities Section 2.02
November 9, 2017	EX-4.6	Form of Senior Indenture EX-4.6 2 mxwl110917s-3ex46formofsen.htm EXHIBIT 4.6 Exhibit 4.6 MAXWELL TECHNOLOGIES, INC. ISSUER AND [TRUSTEE], TRUSTEE INDENTURE DATED AS OF , 20 SENIOR DEBT SECURITIES TABLE OF CONTENTS ARTICLE I DEFINITIONS Section 1.1 Definitions of Terms ARTICLE II ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES Section 2.1 Designation and Terms of Securities Section 2.2 Form of
November 9, 2017	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q 10-Q 1 mxwl09301710q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarter ended September 30, 2017 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file nu
November 8, 2017	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 mxwl0930178kearningsrelease.htm 8-K EARNINGS RELEASE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): November 8, 2017 MAXWELL TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-15477 95-23901
November 8, 2017	EX-99.1	Maxwell Reports Third Quarter 2017 Results Exhibit Exhibit 99.1 FOR IMMEDIATE RELEASE Investor Contact: Soohwan Kim, CFA (858) 503-3368 [email protected] Maxwell Reports Third Quarter 2017 Results Note: A webcast of Maxwell's conference call will be available at 5:00 p.m. EST today at http://investors.maxwell.com. SAN DIEGO - November 8, 2017 - Maxwell Technologies, Inc. (NASDAQ: MXWL) today reported financial results for the three months end
October 12, 2017	EX-99.1	Maxwell Announces Full $6.0 Million Exercise of Convertible Notes Over-Allotment Option Exhibit FOR IMMEDIATE RELEASE Investor Contact: Soohwan Kim, CFA (858) 503-3368 ir@maxwell.
October 12, 2017	8-K	Maxwell Technologies 8-K OVERALLOTMENT EXERCISE (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): October 12, 2017 MAXWELL TECHNOLOGIES, INC.
September 26, 2017	EX-10.1	Purchase Agreement, dated September 20, 2017, by and between the Company and Barclays Capital, Inc. EX-10.1 3 mxwl0926178kex101purchasea.htm EXHIBIT 10.1 PURCHASE AGREEMENT EXHIBIT 10.1 EXECUTION $40,000,000 MAXWELL TECHNOLOGIES, INC. 5.50% CONVERTIBLE SENIOR NOTES DUE 2022 PURCHASE AGREEMENT September 20, 2017 BARCLAYS CAPITAL INC. As Initial Purchaser, 745 Seventh Avenue New York, New York 10019 Ladies and Gentlemen: Maxwell Technologies, Inc., a Delaware corporation (the “Company”), proposes,
September 26, 2017	8-K	Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Other Events Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): September 20, 2017 MAXWELL TECHNOLOGIES, INC.
September 26, 2017	EX-4.1	Indenture dated as of September 25, 2017 between Maxwell Technologies, Inc. and the Trustee. Exhibit Exhibit 4.1 Execution Version MAXWELL TECHNOLOGIES, INC. AND WILMINGTON TRUST, NATIONAL ASSOCIATION, as Trustee INDENTURE Dated as of September 25, 2017 5.50% Convertible Senior Notes due 2022 TABLE OF CONTENTS ARTICLE 1 DEFINITIONS Section 1.01 . Definitions Section 1.02 . References to Interest ARTICLE 2 ISSUE, DESCRIPTION, EXECUTION, REGISTRATION AND EXCHANGE OF NOTES Section 2.01 . Des
September 21, 2017	EX-10.1	Amendment No. 5 to Loan and Security Agreement, dated September 20, 2017, by and among the Company and East West Bank Exhibit Exhibit 10.1 EXECUTION VERSION FIFTH AMENDMENT TO LOAN AND SECURITY AGREEMENT This Fifth Amendment to Loan and Security Agreement (this ? Amendment ?) is entered into as of September 20, 2017, by and between EAST WEST BANK (? Bank ?) and MAXWELL TECHNOLOGIES, INC. (? Borrower ?). RECITALS WHEREAS, Borrower and Bank are parties to the Loan and Security Agreement, dated as of July 3, 2015, a
September 21, 2017	EX-99.1	Maxwell Announces Pricing of $40 Million of 5.50% Convertible Senior Notes Due 2022 Exhibit Exhibit 99.1 FOR IMMEDIATE RELEASE Investor Contact: Soohwan Kim, CFA (858) 503-3368 [email protected] Maxwell Announces Pricing of $40 Million of 5.50% Convertible Senior Notes Due 2022 SAN DIEGO - September 20, 2017 - Maxwell Technologies, Inc. (NASDAQ: MXWL) (?Maxwell?), a leading developer and manufacturer of capacitor energy storage and power delivery solutions, today announced the prici
September 21, 2017	8-K	Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Other Events Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): September 20, 2017 MAXWELL TECHNOLOGIES, INC.
September 19, 2017	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 8-K 1 mxwl0919178kofferingviex.htm 8-K OFFERING, VIEX UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): September 18, 2017 MAXWELL TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 1-15477 95-2390133 (S
September 19, 2017	EX-99.2	Maxwell Announces Proposed Offering of $50 Million Convertible Senior Notes Due 2022 Exhibit Exhibit 99.2 FOR IMMEDIATE RELEASE Investor Contact: Soohwan Kim, CFA (858) 503-3368 [email protected] Maxwell Announces Proposed Offering of $50 Million Convertible Senior Notes Due 2022 SAN DIEGO - September 19, 2017 - Maxwell Technologies, Inc. (NASDAQ: MXWL) (?Maxwell?), a leading developer and manufacturer of capacitor energy storage and power delivery solutions, today announced its inte
September 19, 2017	EX-99.1	Innovative, Affordable Power & Energy Solutions Maxwell Management Presentation 144A Convertible Debt Issuance September 2017 Exhib it 99. 1 MAXWELL CONFIDENTIAL Disclaimers 2 Non-GAAP Financial Information  Management also uses certain non-GAAP fin mxwlinvestorpresex991 Innovative, Affordable Power & Energy Solutions Maxwell Management Presentation 144A Convertible Debt Issuance September 2017 Exhib it 99.
September 19, 2017	EX-99.3	Maxwell Technologies Announces Amended Agreement with Viex Capital Advisors Exhibit Exhibit 99.3 FOR IMMEDIATE RELEASE Investor Contact: Soohwan Kim, CFA (858) 503-3368 [email protected] Maxwell Technologies Announces Amended Agreement with Viex Capital Advisors SAN DIEGO - September 19, 2017 - Maxwell Technologies, Inc. (NASDAQ: MXWL) (?Maxwell? or the ?Company?), a leading developer and manufacturer of capacitor energy storage and power delivery solutions, announced today
September 19, 2017	EX-10.1	Amended and Restated Agreement, dated September 18, 2017, by and among the Company and Viex Capital Advisors, LLC and certain of its affiliates named therein Exhibit Exhibit 10.1 AMENDED AND RESTATED AGREEMENT This Amended and Restated Agreement (this ? Agreement ?) is dated as of September 18, 2017 and shall be effective as set forth below, by and among Maxwell Technologies, Inc. (the ? Company ?) and the entities and natural persons set forth in the signature pages hereto (collectively, ? Viex ?) (each of the Company and Viex, a ? Party ? to this Agr
August 8, 2017	S-8	Maxwell Technologies S-8 Document As filed with the Securities and Exchange Commission on August 8, 2017 Registration No.
August 8, 2017	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarter ended June 30, 2017 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-15477 MAXWELL TECHNOLOGIES,
August 7, 2017	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 mxwl0630178kearningsrelease.htm 8-K EARNINGS RELEASE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): August 7, 2017 MAXWELL TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-15477 95-2390133
August 7, 2017	EX-99.1	Maxwell Reports Second Quarter 2017 Results $37.1 million Q2 revenue just above previous guidance range Exhibit Exhibit 99.1 FOR IMMEDIATE RELEASE Investor Contact: Soohwan Kim, CFA (858) 503-3368 [email protected] Maxwell Reports Second Quarter 2017 Results $37.1 million Q2 revenue just above previous guidance range Note: A webcast of Maxwell's conference call will be available at 5:00 p.m. EDT today at http://investors.maxwell.com. SAN DIEGO - August 7, 2017 - Maxwell Technologies, Inc. (NASDAQ: MXWL
July 20, 2017	SC 13D	MXWL / Maxwell Technologies, Inc. / Arbat Capital Group Ltd. - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Maxwell Technologies, Inc. (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 577767106 (CUSIP Number) I2BF Global Investments Ltd. c/o I2BF LLC 304 Park Avenue South, 9th Floor New York, New York 10010 (212) 226-7320
July 17, 2017	8-K	Submission of Matters to a Vote of Security Holders Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): July 13, 2017 MAXWELL TECHNOLOGIES, INC.
June 2, 2017	DEFA14A	Maxwell Technologies DEFA14A PROXY NOTICE Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Pr
June 2, 2017	DEF 14A	Amended and Restated 2004 Employee Stock Purchase Plan of Registrant. Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Pr
May 31, 2017	EX-1.01	Maxwell Technologies, Inc. Conflict Minerals Report For the Year Ended December 31, 2016 EX-1.01 2 mxwl053117ex101-conflictmi.htm EXHIBIT 1.01 Exhibit 1.01 Maxwell Technologies, Inc. Conflict Minerals Report For the Year Ended December 31, 2016 This Conflict Minerals Report (“Report”) for the year ended December 31, 2016 has been prepared in accordance with Rule 13p-1 of the Securities Exchange Act of 1934 (“Rule 13p-1”). Certain terms in this Report are defined in Rule 13p-1, and the
May 31, 2017	SD	Maxwell Technologies SD Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 _ FORM SD Specialized Disclosure Report _ MAXWELL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) _ Delaware 001-15477 95-2390133 (State or other jurisdiction of incorporation or organization) (Commission Fil
May 25, 2017	EX-99.1	Maxwell Chairman of the Board Transition EX-99.1 2 mxwl0523178kex991prdirecto.htm EXHIBIT 99.1 PRESS RELEASE DIRECTOR DEPARTURES Exhibit 99.1 Page 1 of 3 FOR IMMEDIATE RELEASE Investor Contact: Soohwan Kim, CFA (858) 503-3368 [email protected] Maxwell Chairman of the Board Transition SAN DIEGO – May 25, 2017 – Maxwell Technologies, Inc. (NASDAQ: MXWL) (“Maxwell”), a leading developer and manufacturer of capacitive energy storage and power d
May 25, 2017	8-K	Maxwell Technologies 8-K DIRECTOR DEPARTURES (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): May 23, 2017 MAXWELL TECHNOLOGIES, INC.
May 17, 2017	8-K	Maxwell Technologies 8-K DIRECTOR APPOINTMENT GOLUBOVICH (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): May 11, 2017 MAXWELL TECHNOLOGIES, INC.
May 12, 2017	SC 13D/A	MXWL / Maxwell Technologies, Inc. / VIEX Capital Advisors, LLC - AMENDMENT NO. 2 TO THE SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 2)1 Maxwell Technologies, Inc. (Name of Issuer) Common Stock, $0.10 par value per share (Title of Class of Securities) 577767106 (CUSIP Number) ERIC SINGER
May 10, 2017	EX-10.4	Amending Agreement to the Arrangement Agreement, dated March 21, 2017, between Maxwell Technologies, Inc. and Nesscap Energy, Inc. Exhibit EXHIBIT 10.4 AMENDING AGREEMENT THIS AGREEMENT dated as of the 21 st day of March, 2017 is made BETWEEN: NESSCAP ENERGY INC. - and ? MAXWELL TECHNOLOGIES, INC. WHEREAS 1. the parties hereto entered into an arrangement agreement dated February 28, 2017 (the ?Arrangement Agreement?) which includes a Plan of Arrangement set out in Schedule ?A? thereto (the ?Plan of Arrangement?); and 2. the p
May 10, 2017	EX-10.11	Form of Non-Employee Director Restricted Stock Unit Deferral Election Exhibit EXHIBIT 10.11 MAXWELL TECHNOLOGIES, INC. 2013 OMNIBUS EQUITY INCENTIVE PLAN NON-EMPLOYEE DIRECTOR RESTRICTED STOCK UNIT DEFERRAL ELECTION DESCRIPTION OF RESTRICTED STOCK UNIT AWARD(S) Name of Recipient: Awards Covered by Deferral Election: This election form applies to the annual restricted stock unit award to be granted to me pursuant to the Company?s non-employee director compensation pr
May 10, 2017	EX-10.12	Form of Non-Employee Director Fee Election Exhibit EXHIBIT 10.12 MAXWELL TECHNOLOGIES, INC. NON-EMPLOYEE DIRECTOR FEE ELECTION Maxwell Technologies, Inc. (the ?Company?) is offering you the opportunity to make certain elections with respect to the cash compensation you are eligible to receive as a non-employee member of the Company?s board of directors: ? Complete Section 1 if you wish to receive your director fees described below in the f
May 10, 2017	10-Q	Maxwell Technologies 10-Q (Quarterly Report) 10-Q 1 mxwl03311710q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarter ended March 31, 2017 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number
May 9, 2017	EX-99.1	Maxwell Reports First Quarter 2017 Results Provides Business Outlook for Second Quarter 2017 Exhibit Exhibit 99.1 FOR IMMEDIATE RELEASE Investor Contact: Soohwan Kim, CFA (858) 503-3368 [email protected] Maxwell Reports First Quarter 2017 Results Provides Business Outlook for Second Quarter 2017 Note: A webcast of Maxwell's conference call will be available at 5:00 p.m. EDT today at http://investors.maxwell.com. SAN DIEGO - May 9, 2017 - Maxwell Technologies, Inc. (NASDAQ: MXWL) today report
May 9, 2017	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): May 9, 2017 MAXWELL TECHNOLOGIES, INC.
April 28, 2017	10-K/A	Maxwell Technologies 10-K/A (Annual Report) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file num
April 28, 2017	8-K	Maxwell Technologies 8-K NESSCAP CLOSING (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 28, 2017 MAXWELL TECHNOLOGIES, INC.
April 28, 2017	EX-99.1	Maxwell Completes Acquisition of Nesscap Energy Business Exhibit EXHIBIT 99.1 FOR IMMEDIATE RELEASE Investor Contact: Soohwan Kim, CFA [email protected] Maxwell Completes Acquisition of Nesscap Energy Business SAN DIEGO ? April 28, 2017 ? Maxwell Technologies, Inc. (NASDAQ: MXWL) (?Maxwell?), a leading developer and manufacturer of capacitive energy storage and power delivery solutions, announced today that it has successfully completed its acquisition of
April 19, 2017	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers 8-K 1 mxwl0413178-knewdirectormu.htm 8-K NEW DIRECTOR - JOHN MUTCH UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 13, 2017 MAXWELL TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 1-15477 95-2
April 11, 2017	SC 13D/A	MXWL / Maxwell Technologies, Inc. / VIEX Capital Advisors, LLC - AMENDMENT NO. 1 TO THE SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 1)1 Maxwell Technologies, Inc. (Name of Issuer) Common Stock, $0.10 par value per share (Title of Class of Securities) 577767106 (CUSIP Number) ERIC SINGER
April 11, 2017	EX-99.1	[The remainder of this page intentionally left blank] Exhibit 99.1 EXECUTION VERSION AGREEMENT This Agreement (this “Agreement”) is made and entered into as of April 10, 2017 by and among Maxwell Technologies, Inc. (the “Company”) and the entities and natural persons set forth in the signature pages hereto (collectively, “Viex”) (each of the Company and Viex, a “Party” to this Agreement, and collectively, the “Parties”). RECITALS WHEREAS, as of the d
April 10, 2017	8-K	Maxwell Technologies 8-K SDIC AND VIEX AGREEMENTS (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 10, 2017 MAXWELL TECHNOLOGIES, INC.
April 10, 2017	EX-10.1	Stock Purchase Agreement, dated April 10, 2017, between Maxwell Technologies, Inc. and SDIC Fund Management Co., Ltd. Exhibit EXHIBIT 10.1 STOCK PURCHASE AGREEMENT by and between MAXWELL TECHNOLOGIES, INC. and SDIC FUND MANAGEMENT CO., LTD. dated as of April 10, 2017 Table of Contents ARTICLE I. DEFINITIONS 1.1 Definitions ARTICLE II. PURCHASE AND SALE 2.1 Closing. 2.2 Closing Deliveries. ARTICLE III. REPRESENTATIONS AND WARRANTIES 3.1 Representations and Warranties of the Company 3.2 Representations and Warranti
April 10, 2017	EX-99.1	Maxwell Signs $47 Million Strategic Equity Investment Agreement with China’s SDIC Fund Management Co., Ltd. Exhibit Exhibit 99.1 Maxwell Signs $47 Million Strategic Equity Investment Agreement with China?s SDIC Fund Management Co., Ltd. ? Enhances access to China?s largest automotive battery companies through SDIC Fund Management's investments in leading Chinese battery companies ? Deepens Maxwell?s existing China localization strategy in one of the largest and fastest growing energy storage markets for
April 10, 2017	EX-10.2	Principal Shareholder Agreement, dated April 10, 2017, between Maxwell Technologies, Inc. and SDIC Fund Management Co., Ltd. EX-10.2 3 mxwlex102principalsharehol.htm EXHIBIT 10.2 PRINCIPAL SHAREHOLDER AGREEMENT EXHIBIT 10.2 PRINCIPAL SHAREHOLDER AGREEMENT This PRINCIPAL SHAREHOLDER AGREEMENT (this “Agreement”) is made as of April 10, 2017 among Maxwell Technologies, Inc., a corporation incorporated under the laws of the State of Delaware (the “Company”) and SDIC Fund Management Co., Ltd. (the “Shareholder”). Terms not o
April 10, 2017	EX-99.2	Maxwell Technologies Announces Agreement with Viex Capital Advisors Exhibit Exhibit 99.2 Maxwell Technologies Announces Agreement with Viex Capital Advisors SAN DIEGO - April 10, 2017 - Maxwell Technologies, Inc. (NASDAQ: MXWL) (?Maxwell? or the ?Company?), a leading developer and manufacturer of capacitor energy storage and power delivery solutions, announced today that it entered into a cooperation agreement with Viex Capital Advisors, LLC (?Viex?) under which t
April 10, 2017	EX-10.4	Agreement, dated as of April 10, 2017, by and among Maxwell Technologies, Inc. and Viex Capital Advisors, LLC and its affiliates. Exhibit Exhibit 10.4 AGREEMENT This Agreement (this ? Agreement ?) is made and entered into as of April 10, 2017 by and among Maxwell Technologies, Inc. (the ? Company ?) and the entities and natural persons set forth in the signature pages hereto (collectively, ? Viex ?) (each of the Company and Viex, a ? Party ? to this Agreement, and collectively, the ? Parties ?). RECITALS WHEREAS, as of the d
April 10, 2017	EX-10.3	Registration Rights Agreement, dated April 10, 2017, between Maxwell Technologies, Inc. and SDIC Fund Management Co., Ltd. Exhibit EXHIBIT 10.3 MAXWELL TECHNOLOGIES, INC. REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this ? Agreement ?) is made and entered into as of April 10, 2017, between Maxwell Technologies, Inc., a Delaware corporation (the ? Company ?), and SDIC Fund Management Co., Ltd., a limited liability company organized under the laws of the Peoples? Republic of China (the ? Purchaser ?
March 1, 2017	10-K	Maxwell Technologies 10-K (Annual Report) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-15477 MAXWEL
March 1, 2017	EX-10.25	Localization Agreement, dated January 25, 2017, by and between the Company and CRRC Qingdao Sifang Rolling Stock Research Institute Co., Ltd. Exhibit 10.25 LOCALIZATION AGREEMENT CRRC QINGDAO SIFANG ROLLING STOCK RESEARCH INSTITUTE CO., LTD. AND MAXWELL TECHNOLOGIES, INC. *** Certain confidential portions of this Exhibit were omitted by means of blackout of the text (the "Mark"). This Exhibit has been filed separately with the Secretary of the Commission without the Mark pursuant to the Company's Application Requesting Confidential Trea
March 1, 2017	EX-10.26	Amendment No. 4 to Loan and Security Agreement between the Registrant and East West Bank, dated March 1, 2017. EXHIBIT 10.26 EXECUTION VERSION FOURTH AMENDMENT TO LOAN AND SECURITY AGREEMENT This Fourth Amendment to Loan and Security Agreement (this “Amendment”) is entered into as of February 28, 2017, by and between EAST WEST BANK (“Bank”) and MAXWELL TECHNOLOGIES, INC. (“Borrower”). RECITALS WHEREAS, Borrower and Bank are parties to the Loan and Security Agreement, dated as of July 3, 2015, as amended by
March 1, 2017	EX-21.1	Subsidiaries of Maxwell Technologies, Inc. EXHIBIT 21.1 Subsidiaries of Maxwell Technologies, Inc. ENTITY STATE/COUNTRY OF INCORPORATION Maxwell Technologies SA Switzerland Maxwell Technologies Systems Division, Inc. California I-Bus/Phoenix, Inc. California Maxwell Holding GmbH (formerly I-Bus/Phoenix, GmbH) Germany MML Acquisition, Inc. Delaware Maxwell Technologies GmbH Germany Maxwell Technologies Korea Co., Ltd Korea Maxwell Technolog
February 28, 2017	EX-99.1	Maxwell Reports Fourth Quarter 2016 Results and Executes Key Strategic Actions ~ Provides Business Outlook for First Quarter 2017 ~ Exhibit 99.1 FOR IMMEDIATE RELEASE Investor Contact: Soohwan Kim, CFA (858) 503-3359 [email protected] Maxwell Reports Fourth Quarter 2016 Results and Executes Key Strategic Actions ~ Provides Business Outlook for First Quarter 2017 ~ Note: A webcast of Maxwell's conference call will be available at 5:00 p.m. EDT today at http://investors.maxwell.com. SAN DIEGO - February 28, 2017 - Maxwell Technolog
February 28, 2017	EX-10.3	Principal Shareholder Agreement, dated February 28, 2017, among Maxwell Technologies, Inc. and I2BF Energy, Limited and Arbat Capital Group Ltd. Exhibit EXHIBIT 10.3 EXECUTION VERSION PRINCIPAL SHAREHOLDER AGREEMENT This PRINCIPAL SHAREHOLDER AGREEMENT (this ? Agreement ?) is made as of February 28, 2017 among Maxwell Technologies, Inc., a corporation incorporated under the laws of the State of Delaware (? Purchaser ?) and each of the shareholders listed on Schedule A attached hereto (individually, a ? Shareholder ? and collectively, the ?
February 28, 2017	EX-99.2	Maxwell Technologies to Acquire Nesscap Energy Business Expands company’s reach within wind, automotive and industrial markets with “small cell” ultracapacitor technology and products EX-99.2 6 mxwl123116ex992nesscappres.htm EXHIBIT 99.2 EXHIBIT 99.2 Maxwell Technologies to Acquire Nesscap Energy Business Expands company’s reach within wind, automotive and industrial markets with “small cell” ultracapacitor technology and products SAN DIEGO, Calif. and SEOUL, Republic of Korea – February 28, 2017 – Maxwell Technologies, Inc. (NASDAQ: MXWL) (“Maxwell”) and Nesscap Energy Inc. (T
February 28, 2017	EX-10.1	Arrangement Agreement, dated February 28, 2017, between Maxwell Technologies, Inc. and Nesscap Energy, Inc. EX-10.1 2 mxwl1231168kex101arrangeme.htm EXHIBIT 10.1 ARRANGEMENT AGREEMENT AMONG MAXWELL TECHNOLOGIES, INC., AND NESSCAP ENERGY INC. February 28, 2017 TABLE OF CONTENTS ARTICLE 1 INTERPRETATION 1.1Definitions 1.2Currency 1.3Interpretation Not Affected by Headings 1.4Knowledge 1.5Extended Meanings, Etc. 1.6Date of any Action 1.7Performance of the Purchaser’s Obligations 1.8Schedules ARTICLE 2 THE
February 28, 2017	EX-10.2	Form of Voting Agreement, dated February 28, 2017, among Maxwell Technologies, Inc., Nesscap Energy, Inc. and each of the shareholders a party thereto. EX-10.2 3 mxwl1231168kex102votingagr.htm EXHIBIT 10.2 EXHIBIT 10.2 EXECUTION VERSION VOTING AGREEMENT THIS VOTING AGREEMENT (“Agreement”) is dated as of [••••], 2017, by and between Maxwell Technologies, Inc., a corporation incorporated under the laws of the State of Delaware (“Purchaser”), and the shareholder listed on Schedule A attached hereto (the “Shareholder”). WHEREAS, Shareholder is the be
February 28, 2017	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Costs Associated with Exit or Disposal Activities, Results of Operations and Financial Condition, Other Events 8-K 1 mxwl1231168kearningsreleas.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): February 28, 2017 MAXWELL TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-15477 95-2390133 (State or Othe
February 27, 2017	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Other Events Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): February 24, 2017 MAXWELL TECHNOLOGIES, INC.
February 27, 2017	EX-3.1	Amended and Restated Bylaws of Maxwell Technologies, Inc. Exhibit Exhibit 3.1 AMENDED AND RESTATED BYLAWS OF MAXWELL TECHNOLOGIES, INC. ARTICLE I OFFICES Section 1.1 Registered Office . The registered office of Maxwell Technologies, Inc. (the ?Corporation?) in the State of Delaware shall be at Corporation Trust Center, 1209 Orange Street, City of Wilmington, County of New Castle, and the name of the registered agent at that address shall be The Corporati
February 27, 2017	EX-99.1	Maxwell Announces July 13 as Updated Date for 2017 Annual Meeting of Stockholders EX-99.1 3 mxwl0224178kex991annualmee.htm EXHIBIT 99.1 Exhibit 99.1 Maxwell Announces July 13 as Updated Date for 2017 Annual Meeting of Stockholders SAN DIEGO - February 27, 2017 - Maxwell Technologies, Inc. (NASDAQ: MXWL), a leading developer and manufacturer of capacitor-based energy storage and power delivery solutions, announced today that the 2017 Annual Meeting of Stockholders has been resch
February 14, 2017	SC 13G/A	MXWL / Maxwell Technologies, Inc. / Neuberger Berman Group LLC - NONE Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 01)* MAXWELL TECHNOLOGIES INC (Name of Issuer) Common (Title of Class of Securities) 577767106 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w
February 14, 2017	SC 13G/A	Maxwell Technologies 3G/A (Passive Acquisition of More Than 5% of Shares) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 19)* Maxwell Technologies, Inc. (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 577767106 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designat
February 9, 2017	SC 13G/A	MXWL / Maxwell Technologies, Inc. / VAN DEN BERG MANAGEMENT I, INC Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 4)* Maxwell Technologies, Inc. (Name of Issuer) Common Stock, Par Value $0.10 (Title of Class of Securities) 577767106 (CUSIP Number) December 31, 2016 (Date
January 31, 2017	EX-99.1	Maxwell Technologies Expands Partnership with China Railway Rolling Stock Corporation (CRRC) to Localize Ultracapacitor Module Production for the China Bus Market Exhibit Exhibit 99.1 Maxwell Technologies Expands Partnership with China Railway Rolling Stock Corporation (CRRC) to Localize Ultracapacitor Module Production for the China Bus Market SAN DIEGO, Jan. 31, 2017 - Maxwell Technologies, Inc. (NASDAQ: MXWL), a leading developer and manufacturer of capacitive energy storage and power delivery solutions, today announced a definitive agreement with CRRC Q
January 31, 2017	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): January 25, 2017 MAXWELL TECHNOLOGIES, INC.
January 17, 2017	8-K	Maxwell Technologies 8-K ANNUAL MEETING DATE (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): January 17, 2017 MAXWELL TECHNOLOGIES, INC.
January 17, 2017	EX-99.1	Maxwell Announces May 10 as Date for 2017 Annual Meeting of Stockholders EX-99.1 2 mxwl0117178kex991annualmee.htm PRESS RELEASE - ANNUAL MEETING DATE Exhibit 99.1 Maxwell Announces May 10 as Date for 2017 Annual Meeting of Stockholders SAN DIEGO - January 17, 2017 - Maxwell Technologies, Inc. (NASDAQ: MXWL), a leading developer and manufacturer of capacitor-based energy storage and power delivery solutions, announced today that the 2017 Annual Meeting of Stockholders w
December 2, 2016	EX-99.1	JOINT FILING AGREEMENT EX-99.1 2 ex991to13d1011401012022016.htm JOINT FILING AGREEMENT Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the shares of Common Stock, $0.10 par v
December 2, 2016	SC 13D	MXWL / Maxwell Technologies, Inc. / VIEX Capital Advisors, LLC - THE SCHEDULE 13D Activist Investment SC 13D 1 sc13d1011401012022016.htm THE SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. )1 Maxwell Technologies, Inc. (Name of Issuer) Common Stock, $0.10 par value per share (Title of Class
November 2, 2016	EX-10.1	Amendment No. 3 to Loan and Security Agreement between the Registrant and East West Bank, dated October 31, 2016. EX-10.1 2 mxwl09301610qex101ewbamend.htm EXHIBIT 10.1 EWB AMENDMENT EXHIBIT 10.1 EXECUTION VERSION THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT This Third Amendment to Loan and Security Agreement (this “Amendment”) is entered into as of October 31, 2016, by and between EAST WEST BANK (“Bank”) and MAXWELL TECHNOLOGIES, INC. (“Borrower”). RECITALS WHEREAS, Borrower and Bank are parties to the Loan
November 2, 2016	10-Q	Maxwell Technologies 10-Q (Quarterly Report) 10-Q 1 mxwl09301610q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarter ended September 30, 2016 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file nu
November 1, 2016	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): November 1, 2016 MAXWELL TECHNOLOGIES, INC.
November 1, 2016	EX-99.1	MAXWELL REPORTS THIRD QUARTER 2016 RESULTS ~ Provides Business Outlook for Fourth Quarter 2016 ~ EX-99.1 2 mxwl093016ex991pressrelease.htm EXHIBIT 99.1 PRESS RELEASE EARNINGS Exhibit 99.1 FOR IMMEDIATE RELEASE Investor Contact: Soohwan Kim, CFA (858) 503-3359 [email protected] MAXWELL REPORTS THIRD QUARTER 2016 RESULTS ~ Provides Business Outlook for Fourth Quarter 2016 ~ Note: A webcast of Maxwell's conference call will be available at 5:00 p.m. EDT today at http://investors.maxwell.com. SAN DI
October 7, 2016	CORRESP	Maxwell Technologies ESP October 7, 2016 United States Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE Washington, D.
August 11, 2016	AW	Maxwell Technologies AW Document August 11, 2016 Via EDGAR Securities and Exchange Commission Division of Corporate Finance 100 F.
August 11, 2016	AW WD	Maxwell Technologies AW WD Document August 11, 2016 Via EDGAR Securities and Exchange Commission Division of Corporate Finance 100 F.
August 10, 2016	EX-12.1	RATIO OF EARNINGS TO FIXED CHARGES Exhibit Exhibit 12.1 RATIO OF EARNINGS TO FIXED CHARGES Six Months Ended June 30, Years Ended December 31, 2016 2015 2014 2013 2012 2011 (In thousands, except ratio data) Fixed charges: Interest expense $ 131 $ 266 $ 169 $ 4 $ 116 $ 109 Amortization of debt discount and capitalized interest expense related to indebtedness 32 79 74 214 134 55 Estimate of interest within rental expense 277 664 804 8
August 10, 2016	POS AM	Maxwell Technologies POS AM Document As filed with the Securities and Exchange Commission on August 10, 2016 Registration No.
August 10, 2016	AW	Maxwell Technologies AW Document August 10, 2016 Via EDGAR Securities and Exchange Commission Division of Corporate Finance 100 F.
August 3, 2016	S-8	Maxwell Technologies S-8 S-8 1 mxwl080316s8.htm S-8 As filed with the Securities and Exchange Commission on August 4, 2016 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT Under The Securities Act of 1933 MAXWELL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 95-2390133 (State or other jurisdiction of incorpora
August 3, 2016	EX-12.1	RATIO OF EARNINGS TO FIXED CHARGES Exhibit Exhibit 12.1 RATIO OF EARNINGS TO FIXED CHARGES Six Months Ended June 30, Years Ended December 31, 2016 2015 2014 2013 2012 2011 (In thousands, except ratio data) Fixed charges: Interest expense $ 131 $ 266 $ 169 $ 4 $ 116 $ 109 Amortization of debt discount and capitalized interest expense related to indebtedness 32 79 74 214 134 55 Estimate of interest within rental expense 277 664 804 8
August 3, 2016	S-3/A	Maxwell Technologies S-3/A Document As filed with the Securities and Exchange Commission on August 4, 2016 Registration No.
August 3, 2016	EX-10.1	Amendment No. 2 to Loan and Security Agreement between the Registrant and East West Bank, dated July 27, 2016. Exhibit EXHIBIT 10.1 EXECUTION VERSION SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT This Second Amendment to Loan and Security Agreement (this ? Amendment ?) is entered into as of July 27, 2016, by and between EAST WEST BANK (? Bank ?) and MAXWELL TECHNOLOGIES, INC. (? Borrower ?). RECITALS WHEREAS, Borrower and Bank are parties to the Loan and Security Agreement, dated as of July 3, 2015, as a
August 3, 2016	10-Q	Maxwell Technologies 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarter ended June 30, 2016 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-15477 MAXWELL TECHNOLOGIES,
August 2, 2016	8-K	Maxwell Technologies 8-K 06.30.16 EARNINGS RELEASE (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): August 2, 2016 MAXWELL TECHNOLOGIES, INC.
August 2, 2016	EX-99.1	MAXWELL REPORTS SECOND QUARTER 2016 RESULTS ~ Provides Business Outlook for Third Quarter 2016 ~ Exhibit Exhibit 99.1 NEWS RELEASE For Immediate Release MAXWELL REPORTS SECOND QUARTER 2016 RESULTS ~ Provides Business Outlook for Third Quarter 2016 ~ Note: A webcast of Maxwell's conference call will be available at 5:00 p.m. EDT today at http://investors.maxwell.com . SAN DIEGO - August 2, 2016 - Maxwell Technologies, Inc. (NASDAQ: MXWL) today reported operational and financial results for the
July 1, 2016	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): June 30, 2016 MAXWELL TECHNOLOGIES, INC.
July 1, 2016	EX-99.1	Jörg Buchheim to Join Maxwell Technologies Board of Directors Following Resignation as Top Sales Executive EX-99.1 2 mxwl0630168kex991.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Media & Investor Contact: Amy Wakeham (858) 503-3359 [email protected] Jörg Buchheim to Join Maxwell Technologies Board of Directors Following Resignation as Top Sales Executive SAN DIEGO, July 1, 2016 - Maxwell Technologies, Inc. (NASDAQ: MXWL), a leading developer and manufacturer of ultracapacitor-based energy st
June 20, 2016	8-K	Maxwell Technologies 8-K ANNUAL MEETING RESULTS (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): June 15, 2016 MAXWELL TECHNOLOGIES, INC.
June 20, 2016	EX-3.1	Certificate of Amendment of Restated Certificate of Incorporation of Registrant, dated June 15, 2016. (incorporated herein by reference to the Registrant’s Current Report on Form 8-K filed on June 20, 2016 (SEC file no. 001-15477). EX-3.1 2 mxwl061516ex31certificateo.htm EXHIBIT 3.1 CERTIFICATE OF AMENDMENT OF RESTATED CERTIFICATE OF INCORPORATION OF MAXWELL TECHNOLOGIES, INC. a Delaware Corporation Maxwell Technologies, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”), does hereby certify: 1. That on March 7, 2016, resolutions were dul
May 27, 2016	SD	Maxwell Technologies SD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM SD Specialized Disclosure Report MAXWELL TECHNOLOGIES, INC.
May 27, 2016	EX-1.01	Maxwell Technologies, Inc. Conflict Minerals Report For the Year Ended December 31, 2015 Exhibit Exhibit 1.01 Maxwell Technologies, Inc. Conflict Minerals Report For the Year Ended December 31, 2015 This Conflict Minerals Report (?Report?) for the year ended December 31, 2015 has been prepared in accordance with Rule 13p-1 of the Securities Exchange Act of 1934 (?Rule 13p-1?). Certain terms in this Report are defined in Rule 13p-1, and the reader is referred to this Rule and to Releas
May 25, 2016	DEFA14A	Maxwell Technologies DEFA14A DEFA14A 1 mxwl052516defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Ru
May 12, 2016	DEFA14A	Maxwell Technologies DEFA14A SEC Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitiv
May 12, 2016	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits SEC Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): May 12, 2016 MAXWELL TECHNOLOGIES, INC.
May 12, 2016	EX-99.1	Steve Bilodeau to Join Maxwell Technologies Board of Directors EX-99.1 2 mxwl051216ex991pressreleas.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Media & Investor Contact: Amy Wakeham (858) 503-3359 [email protected] Steve Bilodeau to Join Maxwell Technologies Board of Directors SAN DIEGO, May 12, 2016 - Maxwell Technologies, Inc. (NASDAQ: MXWL), a leading developer and manufacturer of ultracapacitor-based energy storage and power delivery solutions,
May 4, 2016	10-Q	Maxwell Technologies 10-Q (Quarterly Report) 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarter ended March 31, 2016 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-15477 MAXWELL TECHNOLO
May 3, 2016	8-K	Maxwell Technologies 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): May 3, 2016 MAXWELL TECHNOLOGIES, INC.
May 3, 2016	EX-99.1	MAXWELL REPORTS FIRST QUARTER 2016 RESULTS ~ Provides Business Outlook for Second Quarter 2016 ~ EX-99.1 2 mxwl03312016ex991pressrele.htm EXHIBIT 99.1 EARNINGS RELEASE Exhibit 99.1 NEWS RELEASE For Immediate Release MAXWELL REPORTS FIRST QUARTER 2016 RESULTS ~ Provides Business Outlook for Second Quarter 2016 ~ Note: A webcast of Maxwell's conference call will be available at 5:00 p.m. EDT today at http://investors.maxwell.com. SAN DIEGO - May 3, 2016 - Maxwell Technologies, Inc. (NASDAQ: MXW
April 29, 2016	8-K	Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 27, 2016 MAXWELL TECHNOLOGIES, INC.
April 29, 2016	EX-99.1	Maxwell Technologies Completes of Sale of Microelectronics Product Line to Data Device Corporation for $21 Million EX-99.1 2 mxwl042716ex991pressrelease.htm EXHIBIT 99.1 PRESS RELEASE Exhibit 99.1 FOR IMMEDIATE RELEASE Media & Investor Contact: Amy Wakeham, (858) 503-3359 [email protected] Maxwell Technologies Completes of Sale of Microelectronics Product Line to Data Device Corporation for $21 Million SAN DIEGO, April 27, 2016 - Maxwell Technologies, Inc. (NASDAQ: MXWL), a leading developer and manufacture
April 29, 2016	EX-99.2	Maxwell Technologies, Inc. Unaudited Pro Forma Financial Statements EX-99.2 3 mxwl042716ex992proforma.htm EXHIBIT 99.2 PRO FORMA Exhibit 99.2 Maxwell Technologies, Inc. Unaudited Pro Forma Financial Statements On April 12, 2016, Maxwell Technologies, Inc., a Delaware corporation (the “Company”), entered into an asset purchase agreement (the “Asset Purchase Agreement”) to sell certain of its assets and liabilities, comprising the Company’s microelectronics product
April 29, 2016	DEF 14A	Maxwell Technologies DEF 14A DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Pro
April 29, 2016	DEFA14A	Maxwell Technologies DEFA14A DEFA14A 1 mxwl042916defa14aproxynoti.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permit
April 14, 2016	PRE 14A	Maxwell Technologies PRE 14A PRE 14A 1 mxwl041416prelimproxy.htm PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ý Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted b
April 12, 2016	EX-99.1	Maxwell Technologies Announces Agreement for Sale of Microelectronics Product Line EX-99.1 4 mxwl041116ex991pressrelease.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Media & Investor Contact: Amy Wakeham, (858) 503-3359 [email protected] Maxwell Technologies Announces Agreement for Sale of Microelectronics Product Line SAN DIEGO, April 12, 2016 - Maxwell Technologies, Inc. (NASDAQ: MXWL), a leading developer and manufacturer of ultracapacitor-based energy storage and p
April 12, 2016	8-K	Maxwell Technologies 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 12, 2016 MAXWELL TECHNOLOGIES, INC.
April 12, 2016	EX-10.2	Amendment No. 1 to Loan and Security Agreement between the Registrant and East West Bank, dated April 12, 2016. EX-10.2 3 mxwl041116ex102ewbamendment.htm EXHIBIT 10.2 Exhibit 10.2 EXECUTION VERSION FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT This First Amendment to Loan and Security Agreement (this “Amendment”) is entered into as of April 12, 2016, by and between EAST WEST BANK (“Bank”) and MAXWELL TECHNOLOGIES, INC. (“Borrower”). RECITALS WHEREAS, Borrower and Bank are parties to the Loan and Security A
April 12, 2016	EX-10.1	Asset Purchase Agreement by and between the Registrant and Data Device Corporation, dated April 12, 2016. Exhibit Exhibit 10.1 ASSET PURCHASE AGREEMENT BY AND BETWEEN MAXWELL TECHNOLOGIES, INC. AND DATA DEVICE CORPORATION APRIL 12, 2016 TABLE OF CONTENTS PAGE ARTICLE 1. Definitions 1 Section 1.01 Definitions 1 Section 1.02 Definitional and Interpretative Provisions 14 ARTICLE 2. Description of the Transactions 15 Section 2.01 Purchase and Sale of Purchased Assets 15 Section 2.02 Closing 15 Section 2.0
March 14, 2016	EX-99.1	Maxwell Technologies Announces Agreement with Viex Capital Advisors EXHIBIT 99.1 FOR IMMEDIATE RELEASE Media Contact: Andrew Siegel or Eric Brielmann Joele Frank, Wilkinson Brimmer Katcher (212) 355-4449 or (415) 869-3951 Investor Contact: Amy Wakeham Maxwell Technologies (858) 503-3359 Maxwell Technologies Announces Agreement with Viex Capital Advisors SAN DIEGO – March 14, 2016 – Maxwell Technologies, Inc. (NASDAQ: MXWL) (“Maxwell” or the “Company”), a leading d
March 14, 2016	EX-10.1	Agreement, dated as of March 11, 2016, by and among the Registrant and Viex Capital Advisors, LLC and its affiliates. Exhibit EXHIBIT 10.1 EXECUTION VERSION AGREEMENT This Agreement (this ? Agreement ?) is made and entered into as of March 11, 2016 by and among Maxwell Technologies, Inc. (the ? Company ?) and the entities and natural persons set forth in the signature pages hereto (collectively, ? Viex ?) (each of the Company and Viex, a ? Party ? to this Agreement, and collectively, the ? Parties ?). RECITALS WH
March 14, 2016	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): March 11, 2016 MAXWELL TECHNOLOGIES, INC.
February 22, 2016	8-K	Maxwell Technologies 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): February 20, 2016 MAXWELL TECHNOLOGIES, INC.
February 17, 2016	EX-21.1	Subsidiaries of Maxwell Technologies, Inc. EXHIBIT 21.1 Subsidiaries of Maxwell Technologies, Inc. ENTITY STATE/COUNTRY OF INCORPORATION Maxwell Technologies SA Switzerland Maxwell Technologies Systems Division, Inc. California I-Bus/Phoenix, Inc. California Maxwell Holding GmbH (formerly I-Bus/Phoenix, GmbH) Germany MML Acquisition, Inc. Delaware Maxwell Technologies GmbH Germany Maxwell Technologies Ltd United Kingdom Maxwell Technologie
February 17, 2016	10-K	MXWL / Maxwell Technologies, Inc. 10-K - Annual Report - 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-15477 MAXWELL TECHNOL
February 16, 2016	8-K	Maxwell Technologies 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): February 16, 2016 MAXWELL TECHNOLOGIES, INC.
February 16, 2016	SC 13G/A	MXWL / Maxwell Technologies, Inc. / GUGGENHEIM CAPITAL LLC - 13G AMENDMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 18)* Maxwell Technologies, Inc. (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 577767106 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designat
February 16, 2016	SC 13G/A	MXWL / Maxwell Technologies, Inc. / VAN DEN BERG MANAGEMENT I, INC Passive Investment SC 13G/A 1 fp0018052sc13ga.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 3)* Maxwell Technologies, Inc. (Name of Issuer) Common Stock, Par Value $0.10 (Title of Class of Securities) 577767106 (CUSIP
February 16, 2016	EX-99.1	MAXWELL TECHNOLOGIES REPORTS 2015 FINANCIAL RESULTS EX-99.1 2 mxwl12312015ex991pressrele.htm EXHIBIT 99.1 MAXWELL TECHNOLOGIES REPORTS 2015 FINANCIAL RESULTS Exhibit 99.1 NEWS RELEASE For Immediate Release MAXWELL REPORTS FOURTH QUARTER AND FULL YEAR 2015 RESULTS ~ Provides Business Outlook for First Quarter 2016 ~ Fourth Quarter 2015 Highlights • 11% increase in sequential quarterly revenue driven by strong ultracapacitor sales • Better than expec
February 9, 2016	SC 13G	MXWL / Maxwell Technologies, Inc. / Neuberger Berman Group LLC - NONE Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. n/a )* MAXWELL TECHNOLOGIES INC (Name of Issuer) Common (Title of Class of Securities) 577767106 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to
January 19, 2016	EX-10.5	Amendment to Employment Agreement between the Registrant and David Lyle, dated January 15, 2016. Exhibit David Lyle Exhibit 10.5 January 15, 2016 Page 1 MAXWELL TECHNOLOGIES, INC. 3888 CALLE FORTUNADA SAN DIEGO, CA 92123 January 15, 2016 David Lyle 3888 Calle Fortunada San Diego, CA 92123 Dear David: As you know, you and Maxwell Technologies, Inc. (the ? Company ?) entered into a letter agreement on May 8, 2015 relating to the terms of your employment (the ? Letter Agreement ?). The Company p
January 19, 2016	EX-10.2	Form of Market Stock Unit Award Agreement under the 2013 Omnibus Equity Incentive Plan. Exhibit Exhibit 10.2 MARKET STOCK UNITS MAXWELL TECHNOLOGIES, INC. 2013 OMNIBUS EQUITY INCENTIVE PLAN NOTICE OF MARKET STOCK UNIT AWARD You have been granted Market Stock Units (? MSUs ?) representing shares of common stock of Maxwell Technologies, Inc. (the ? Company ?) on the following terms: Name of Recipient: xxxx Grant Date: xxxx Grant Number: xxxx Target Number of MSUs: xxxx (the ? Target MS

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