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
  1. The exercise price of the options ranges from $10.32 to $14.80 per share
  2. Both direct and indirect. See footnote 3.
  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.
  4. The sale was made under a 10b5-1 trading plan as adopted by the reporting person.
  5. Shares were sold ranging from $46.00 per share to $46.31 per share.
  6. 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.
  7. The expiration date of the options were 03/17/2015 and 02/06/2016