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
  1. 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. 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.
  3. Both direct and indirect holding. See footnote 2.
  4. Shares were sold ranging from $43.76 per share to $43.82 per share.