Filing Details
- Accession Number:
- 0001209191-14-035971
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-05-21 19:30:43
- Reporting Period:
- 2014-05-20
- Filing Date:
- 2014-05-21
- Accepted Time:
- 2014-05-21 19:30:43
- 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 |
---|---|---|---|---|---|---|---|
937378 | N C Reddy | C/O Alliance Semiconductor Corp. 2900 Lakeside Drive, Suite 229 Santa Clara CA 95054 | Yes | No | 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 | 2014-05-20 | 12,500 | $17.76 | 63,625 | No | 4 | M | Indirect | See footnote 2 |
Common Stock | Acquisiton | 2014-05-20 | 12,500 | $13.50 | 76,125 | No | 4 | M | Indirect | See footnote 2 |
Common Stock | Disposition | 2014-05-20 | 25,000 | $43.76 | 51,125 | No | 4 | S | Indirect | See footnote 2 |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Indirect | See footnote 2 |
No | 4 | M | Indirect | See footnote 2 |
No | 4 | S | Indirect | See footnote 2 |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock option right to buy | Disposition | 2014-05-20 | 12,500 | $0.00 | 12,500 | $17.76 |
Common Stock | Stock option right to buy | Disposition | 2014-05-20 | 12,500 | $0.00 | 12,500 | $13.50 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2008-04-18 | 2015-04-18 | No | 4 | M | Direct |
0 | 2009-05-08 | 2016-05-08 | No | 4 | M | Direct |
Footnotes
- Included 3,000 shares of restricted stock units (RSU's) vested on April 30, 2014. As reported on Form 4 dated June 3, 2013, the reporting person received a grant of 3,000 RSUs on May 30, 2013 pursuant to Cavium's 2007 Equity Incentive Plan which fully vest on April 30, 2014. This RSU grant was reported in Table 1 of the related Form 4 filed.
- 2,733 shares were owned directly by the reporting person and remaining shares are owned indirectly by reporting person through multiple partnerships. The reporting person, who is a general partner of Solar Ventures Partners LP, Scenic Capital, and Scenic Investments LP, disclaims beneficial ownership of the shares held by the above partnerships, except to his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.
- Both direct and indirect holding. See footnote 2.
- Shares were sold ranging from $43.76 per share to $43.82 per share.