# EDGAR Filing Document

**Accession Number:** 0001478340
**File Stem:** 0001288469-23-000053
**Filing Date:** 2023-2
**Character Count:** 11577
**Document Hash:** bc40c2992f8c9b37f5f49fadf6976e68
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001288469-23-000053.hdr.sgml**: 20230207

**ACCESSION NUMBER**: 0001288469-23-000053

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230203

**FILED AS OF DATE**: 20230207

**DATE AS OF CHANGE**: 20230207

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** SEENDRIPU KISHORE
- **CENTRAL INDEX KEY:** 0001478340

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-34666
- **FILM NUMBER:** 23596880

**MAIL ADDRESS:**
- **STREET 1:** 5966 LA PLACE COURT
- **STREET 2:** SUITE 100
- **CITY:** CARLSBAD
- **STATE:** CA
- **ZIP:** 92011
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** MAXLINEAR, INC
- **CENTRAL INDEX KEY:** 0001288469
- **STANDARD INDUSTRIAL CLASSIFICATION:** SEMICONDUCTORS & RELATED DEVICES [3674]
- **IRS NUMBER:** 141896129
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 5966 LA PLACE CT.
- **CITY:** CARLSBAD
- **STATE:** CA
- **ZIP:** 92008
- **BUSINESS PHONE:** 760-692-0711

**MAIL ADDRESS:**
- **STREET 1:** 5966 LA PLACE CT.
- **CITY:** CARLSBAD
- **STATE:** CA
- **ZIP:** 92008

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** MAXLINEAR INC
- **DATE OF NAME CHANGE:** 20040423

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>SEENDRIPU KISHORE<br><sub>(Last) (First) (Middle)</sub><br>C/O MAXLINEAR, INC.<br>5966 LA PLACE COURT, SUITE 100<br><sub>(Street)</sub><br>CARLSBAD, CA 92008<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-03 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chairman, President and CEO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>MAXLINEAR, INC [ MXL ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-02-03 |  | A |  | 27323<sup>(1)</sup> | A | $0 | 35123 | D |  |
| Common Stock | 2023-02-03 |  | A |  | 231363<sup>(2)</sup> | A | $0 | 266486 | D |  |
| Common Stock | 2023-02-03 |  | A |  | 154227<sup>(2)</sup> | A | $0 | 420713 | D |  |
| Common Stock | 2023-02-03 |  | A |  | 39595<sup>(3)</sup> | A | $0 | 460308 | D |  |
| Common Stock | 2023-02-03 |  | A |  | 26396<sup>(3)</sup> | A | $0 | 486704 | D |  |
| Common Stock | 2023-02-03 |  | A |  | 10487<sup>(4)</sup> | A | $0 | 497191 | D |  |
| Common Stock | 2023-02-03 |  | A |  | 7014<sup>(4)</sup> | A | $0 | 504205 | D |  |
| Common Stock |  |  |  |  |  |  |  | 117340 | I | See footnote<sup>(5)</sup> |
| Common Stock |  |  |  |  |  |  |  | 285552 | I | See footnote<sup>(6)</sup> |
| Common Stock |  |  |  |  |  |  |  | 285552 | I | See footnote<sup>(7)</sup> |
| Common Stock |  |  |  |  |  |  |  | 182893 | I | See footnote<sup>(8)</sup> |
| Common Stock |  |  |  |  |  |  |  | 565161 | I | See footnote<sup>(9)</sup> |
| Common Stock |  |  |  |  |  |  |  | 565161 | I | See footnote<sup>(10)</sup> |
| Common Stock |  |  |  |  |  |  |  | 500000 | I | See footnote<sup>(11)</sup> |
| Common Stock |  |  |  |  |  |  |  | 500000 | I | See footnote<sup>(12)</sup> |
| Common Stock |  |  |  |  |  |  |  | 396526 | I | See footnote<sup>(13)</sup> |
| Common Stock |  |  |  |  |  |  |  | 396526 | I | See footnote<sup>(14)</sup> |
| Common Stock |  |  |  |  |  |  |  | 18920 | I | See footnote<sup>(15)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) Represents shares of Common Stock issued to the Reporting Person for the 2022 performance period under the Company's Executive Incentive Bonus Plan (the "Bonus Plan"). All shares were issued pursuant to the Company's 2010 Equity Incentive Plan. Grant amounts were determined based on the award amount earned under the Bonus Plan and the closing price of the Company's Common Stock in trading on The Nasdaq Global Select Market on February 3, 2023.  The Reporting Person has deferred settlement of the shares pursuant to a Restricted Stock Unit Election Form entered into by the Reporting Person on December 31, 2021 until the earliest of (i) the date of termination of the executive officer's service to the Company; or (ii) a qualifying change in control.

(2) Represents shares of Common Stock issued to the Reporting Person in connection with the achievement of financial performance conditions for the 2022 fiscal year that were approved as part of the 2020 performance-based restricted stock award granted on March 31, 2020. All shares were issued pursuant to the Company's 2010 Equity Incentive Plan.  The Reporting Person has deferred settlement of the shares pursuant to a Restricted Stock Unit Election Form entered into by the Reporting Person on December 31, 2021 until the earliest of (i) the date of termination of the executive officer's service to the Company; or (ii) a qualifying change in control.

(3) Represents shares of Common Stock issued to the Reporting Person in connection with the achievement of financial performance conditions for the 2022 fiscal year that were approved as part of the 2021 performance-based restricted stock award granted on May 20, 2021. All shares were issued pursuant to the Company's 2010 Equity Incentive Plan.  The Reporting Person has deferred settlement of the shares pursuant to a Restricted Stock Unit Election Form entered into by the Reporting Person on December 31, 2021 until the earliest of (i) the date of termination of the executive officer's service to the Company; or (ii) a qualifying change in control.

(4) Represents shares of Common Stock issued to the Reporting Person in connection with the achievement of financial performance conditions for the 2022 fiscal year that were approved as part of the 2022 performance-based restricted stock award granted on January 3, 2022. All shares were issued pursuant to the Company's 2010 Equity Incentive Plan.  The Reporting Person has deferred settlement of the shares pursuant to a Restricted Stock Unit Election Form entered into by the Reporting Person on December 31, 2021 until the earliest of (i) the date of termination of the executive officer's service to the Company; or (ii) a qualifying change in control.

(5) Shares held by the Seendripu Family Trust dated 10/5/09, a trust for the benefit of the Reporting Person and the Reporting Person's spouse, for which the Reporting Person and the Reporting Person's spouse serve as trustees.

(6) Shares held by the Kishore V. Seendripu 2022 Annuity Trust B, a grantor retained annuity trust, for which the Reporting Person serves as trustee.

(7) Shares held by the Rekha S. Seendripu 2022 Annuity Trust B, a grantor retained annuity trust, for which the Reporting Person serves as trustee.

(8) Shares held by The Seendripu Family Fund, a donor advised fund, for which the Reporting Person and the Reporting Person's spouse serve as advisors.

(9) Shares held by the Samira Seendripu Trust dtd 10/5/2009, a trust for the benefit of the Reporting Person's child, and for which the Reporting Person serves as co-trustee.

(10) Shares held by the Ishan Krishna Seendripu Trust dtd 10/5/09, a trust for the benefit of the Reporting Person's child, and for which the Reporting Person serves as co-trustee.

(11) Shares held by the Rekha S. Seendripu 2022 Annuity Trust A, a grantor retained annuity trust, for which the Reporting Person serves as trustee.

(12) Shares held by the Kishore V. Seendripu 2022 Annuity Trust A, a grantor retained annuity trust, for which the Reporting Person serves as trustee.

(13) Shares held by the SS Heritage Trust dated July 13, 2020, a trust for the benefit of the Reporting Person's child, and for which the Reporting Person serves as co-trustee.

(14) Shares held by the IKS Heritage Trust dated July 13, 2020, a trust for the benefit of the Reporting Person's child, and for which the Reporting Person serves as co-trustee.

(15) Shares held by the Seendripu Relatives Trust dated 10/5/09, a trust for the benefit of the Reporting Person's parents and siblings, and for which the Reporting Person serves as trustee.

**Signature:** /s/ Connie Kwong, as Attorney-in-Fact  
**Date:** 2023-02-07

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**