Filing Details
- Accession Number:
- 0001209191-13-050226
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2013-11-01 18:19:52
- Reporting Period:
- 2013-10-30
- Filing Date:
- 2013-11-01
- Accepted Time:
- 2013-11-01 18:19:52
- Original Submission Date:
- 2013-11-01
- 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 | Disposition | 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
- 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.
- 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.
- Previously filed Form 4 dated 11/1/2013 was inaccurately coded as "A" instead of "D".
- Shares were sold ranging from $40.00 per share to $40.14 per share.
- 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.