Filing Details
- Accession Number:
- 0001209191-16-151994
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-23 18:07:17
- Reporting Period:
- 2016-11-21
- Filing Date:
- 2016-11-23
- Accepted Time:
- 2016-11-23 18:07:17
- 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 | 2016-11-21 | 150,000 | $24.16 | 1,843,431 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-21 | 109,948 | $54.85 | 1,733,483 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2016-11-21 | 150,000 | $0.00 | 150,000 | $24.16 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2010-07-06 | 2017-01-06 | No | 4 | M | Direct |
Footnotes
- This was an exercise of stock options which were due to expire on January 6, 2017
- The sale was made under a 10b5-1 trading plan as adopted by the reporting person.
- Shares were sold ranging from $54.50 per share to $55.85 per share.
- 1/8th of the shares subject to the option vest on the six month anniversary of the vesting commencement date and 1/48th of the shares vest monthly thereafter over the next three and one half years.
Billionaire Hedge Funds
