Filing Details

Accession Number:
0001209191-13-050192
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-11-01 16:40:03
Reporting Period:
2013-10-30
Filing Date:
2013-11-01
Accepted Time:
2013-11-01 16:40:03
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1175609 Cavium Inc. CAVM Semiconductors & Related Devices (3674) 770558625
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1514114 P Vincent Pangrazio 2315 N. First Street
San Jose CA 95131
Svp,Gen. Counsel & Secretary No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-10-30 3,749 $0.00 11,249 No 4 M Direct
Common Stock Acquisiton 2013-11-01 3,500 $40.04 8,561 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted stock units Disposition 2013-10-30 2,812 $0.00 2,812 $0.00
Common Stock Restricted stock units Disposition 2013-10-30 937 $0.00 937 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
14,063 No 4 M Direct
8,438 No 4 M Direct
Footnotes
  1. As reported on Form 4 dated March 14, 2011, the reporting person received a grant of 45,000 Restricted Stock Units (RSU's) on March 10, 2011 pursuant to Cavium's 2007 Equity Incentive Plan. 1/16th of the RSUs vested on April 30, 2011, and 1/16th will vest on the 30th day of the first month of each of the calendar quarter thereafter.
  2. As reported on Form 4 dated February 28, 2012, the reporting person received a grant of 15,000 Restricted Stock Units (RSU's) on February 24, 2012 pursuant to Cavium's 2007 Equity Incentive Plan. 1/16th of the RSUs vested on April 30, 2012, and 1/16th will vest on the 30th day of the first month of each of the calendar quarter thereafter.
  3. Shares were sold ranging from $40.00 per share to $40.14 per share.
  4. Includes 812 shares of restricted stock units vested on October 31, 2013. As reported on Form 4 dated March 26, 2013, the reporting person received a grant of 13,000 Restricted Stock Units (RSU's) on March 22, 2013 pursuant to Cavium's 2007 Equity Incentive Plan. 1/16th of the RSUs vested on April 30, 2013, and 1/16th will vest on the last day of the first month of each of the calendar quarter thereafter. This RSU grant was reported in Table 1 of Form 4 dated March 26, 2013.