Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2016-11-23 18:07:17
Reporting Period:
Filing Date:
Accepted Time:
2016-11-23 18:07:17
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
1175609 Cavium Inc. CAVM Semiconductors & Related Devices (3674) 770558625
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
  1. This was an exercise of stock options which were due to expire on January 6, 2017
  2. The sale was made under a 10b5-1 trading plan as adopted by the reporting person.
  3. Shares were sold ranging from $54.50 per share to $55.85 per share.
  4. 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.