SEC Form 4 · accession 0001209191-15-026097
CAVIUM, INC. · CAVM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Syed Ali
Officer — Pres., CEO, Chairman of board · Director
Period of report
Mar 11, 2015
Accepted (ET)
Mar 13, 2015 · 4:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001175609
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stock | Mar 11, 2015 | M | 131,594 | $14.80 | A | 1,504,241 | D | |
| Common stockF2 | Mar 11, 2015 | S | 131,594 | $69.35 | D | 1,372,647 | D | |
| Common stock | Mar 12, 2015 | M | 43,406 | $14.80 | A | 1,416,053 | D | |
| Common stockF3 | Mar 12, 2015 | S | 43,406 | $69.20 | D | 1,372,647 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock option right to buy | $14.80 | Mar 11, 2015 | M | 131,594 | D | Sep 17, 2008 | Mar 17, 2015 | Common stock | 131,594 | 43,406 | D |
| Stock option right to buy | $14.80 | Mar 12, 2015 | M | 43,406 | D | Sep 17, 2008 | Mar 17, 2015 | Common stock | 43,406 | 0 | D |
Explanation of responses
- F1This was an exercise of stock options which were due to expire on March 17, 2015.
- F2Shares were sold ranging from $69.00 per share to $69.84 per share.
- F3Shares were sold ranging from $68.80 per share to $69.51 per share.