Filing Details
- Accession Number:
- 0001209191-14-037386
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-05-28 16:12:57
- Reporting Period:
- 2014-05-23
- Filing Date:
- 2014-05-28
- Accepted Time:
- 2014-05-28 16:12:57
- 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 |
---|---|---|---|---|---|---|---|
1228022 | D Arthur Chadwick | C/O Cavium Networks, Inc. 2315 N. First Street San Jose CA 95131 | Vp Finance & Admin Cfo | 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 | 2014-05-23 | 30,000 | $12.93 | 59,600 | No | 4 | M | Indirect | See footnote |
Common Stock | Disposition | 2014-05-23 | 30,000 | $46.09 | 29,600 | No | 4 | S | Indirect | See footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Indirect | See footnote |
No | 4 | S | Indirect | See footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option Right to Buy | Disposition | 2014-05-23 | 30,000 | $0.00 | 30,000 | $12.93 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
135,500 | 2016-02-06 | No | 4 | M | Direct |
Footnotes
- The exercise price of the options ranges from $10.32 to $14.80 per share
- Both direct and indirect. See footnote 3.
- Of the 29,600 shares beneficially owned by Mr. Chadwick, 16,500 shares are owned directly by Mr. Chadwick, and 13,100 shares are owned indirectly by Mr. Chadwick through multiple family trusts.
- The sale was made under a 10b5-1 trading plan as adopted by the reporting person.
- Shares were sold ranging from $46.00 per share to $46.31 per share.
- 1/8th of the shares subject to the options vest on six month anniversary of the vesting commencement dates of 9/17/2008 and 8/6/2009 and 1/48th of the shares vest monthly thereafter over the next three and one half years.
- The expiration date of the options were 03/17/2015 and 02/06/2016