Filing Details
- Accession Number:
- 0001209191-14-006522
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-03 16:57:12
- Reporting Period:
- 2014-01-30
- Filing Date:
- 2014-02-03
- Accepted Time:
- 2014-02-03 16:57:12
- 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 | 2014-01-30 | 3,751 | $0.00 | 12,312 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-01-31 | 813 | $0.00 | 13,125 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-02-03 | 1,825 | $36.86 | 11,300 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| 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 | 2014-01-30 | 2,813 | $0.00 | 2,813 | $0.00 |
| Common Stock | Restricted stock units | Disposition | 2014-01-30 | 938 | $0.00 | 938 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 11,250 | No | 4 | M | Direct | ||
| 7,500 | No | 4 | M | Direct |
Footnotes
- As reported on Form 4 filed on 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. The vesting of this RSU grant on January 30, 2014 resulted in the issuance of 2,183 shares of Cavium's common stock.
- As reported on Form 4 filed on 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. The vesting of this RSU grant on January 30, 2014 resulted in the issuance of 938 shares of Cavium's common stock.
- As reported on Form 4 filed on 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. The vesting of this RSU grant on January 31, 2014 resulted in the issuance of 813 shares of Cavium's common stock. This RSU grant was reported in Table 1 of Form 4 dated March 26, 2013.
- The sale was made under a 10b5-1 trading plan adopted by the reporting person on November 19, 2013.
- Shares were sold ranging from $36.59 per share to $36.90 per share.
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