SEC Form 4 · accession 0001209191-15-055397
CAVIUM, INC. · CAVM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
C N Reddy
Director
Period of report
Jun 18, 2015
Accepted (ET)
Jun 22, 2015 · 4:42 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 stockF1,F2,F3 | Jun 18, 2015 | A | 5,500 | — | A | 34,406 | I | See footnote |
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 buyF4 | $76.38 | Jun 18, 2015 | A | 3,000 | A | Jul 18, 2015 | Jun 18, 2022 | Common stock | 3,000 | 3,000 | D |
Explanation of responses
- F1This annual Restricted Stock Unit (RSU) grant will vest on April 30, 2016. On the vesting date, for each RSU vesting on such date, the reporting person will receive one share of Cavium's common stock at no cost.
- F2Both direct and indirect. See footnote 3.
- F3Of the total beneficial ownership following the transaction, 19,199 shares are held through a family trust and 1,207 shares are owned indirectly by the reporting person through multiple partnerships.
- F4This annual stock option grant will vest monthly over one year from the grant date.