Filing Details
- Accession Number:
- 0001209191-16-096515
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-02-08 19:09:02
- Reporting Period:
- 2016-02-04
- Filing Date:
- 2016-02-08
- Accepted Time:
- 2016-02-08 19:09:02
- 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 |
|---|---|---|---|---|---|---|---|
| 1395198 | Syed Ali | C/O Cavium, Inc. 2315 N. First Street San Jose CA 95131 | Pres., Ceo, Chairman Of Board | Yes | 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 | 2016-02-04 | 300,000 | $10.32 | 1,685,147 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-02-04 | 3,730 | $3.04 | 1,688,877 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-02-04 | 186,820 | $53.74 | 1,502,057 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-02-05 | 171,270 | $3.04 | 1,673,327 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-02-05 | 49,006 | $3.04 | 1,722,333 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-02-05 | 120,000 | $51.96 | 1,602,333 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-02-08 | 125,994 | $3.04 | 1,728,327 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-02-08 | 69,700 | $47.97 | 1,658,627 | 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 | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | Stock option right to buy | Disposition | 2016-02-04 | 300,000 | $0.00 | 300,000 | $10.32 |
| Common Stock | Stock option right to buy | Disposition | 2016-02-04 | 3,730 | $0.00 | 3,730 | $3.04 |
| Common Stock | Stock option right to buy | Disposition | 2016-02-05 | 172,270 | $0.00 | 171,270 | $3.04 |
| Common Stock | Stock option right to buy | Disposition | 2016-02-05 | 49,006 | $0.00 | 49,006 | $3.04 |
| Common Stock | Stock option right to buy | Disposition | 2016-02-08 | 125,994 | $0.00 | 125,994 | $3.04 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2009-08-06 | 2016-02-02 | No | 4 | M | Direct |
| 171,270 | 2006-03-22 | 2016-03-22 | No | 4 | M | Direct |
| 0 | 2006-03-22 | 2016-03-22 | No | 4 | M | Direct |
| 125,994 | 2006-03-22 | 2016-03-22 | No | 4 | M | Direct |
| 0 | 2006-03-22 | 2016-03-22 | No | 4 | M | Direct |
Footnotes
- This was an exercise of stock options which were due to expire on February 6, 2016.
- This was an exercise of stock options which were due to expire on March 22, 2016.
- The sale was made under a 10b5-1 trading plan adopted by the reporting person.
- Shares were sold ranging from $52.81 per share to $54.38 per share.
- Shares were sold ranging from $51.15 per share to $53.62 per share.
- Shares were sold ranging from $46.85 per share to $50.05 per share.
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