SEC Form 4 · accession 0001209191-16-096515
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
Feb 4, 2016
Accepted (ET)
Feb 8, 2016 · 7:09 pm EST
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 | Feb 4, 2016 | M | 300,000 | $10.32 | A | 1,685,147 | D | |
| Common stock | Feb 4, 2016 | M | 3,730 | $3.04 | A | 1,688,877 | D | |
| Common stockF4 | Feb 4, 2016 | S | 186,820 | $53.74 | D | 1,502,057 | D | |
| Common stock | Feb 5, 2016 | M | 171,270 | $3.04 | A | 1,673,327 | D | |
| Common stock | Feb 5, 2016 | M | 49,006 | $3.04 | A | 1,722,333 | D | |
| Common stockF5 | Feb 5, 2016 | S | 120,000 | $51.96 | D | 1,602,333 | D | |
| Common stock | Feb 8, 2016 | M | 125,994 | $3.04 | A | 1,728,327 | D | |
| Common stockF6 | Feb 8, 2016 | S | 69,700 | $47.97 | D | 1,658,627 | 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 | $10.32 | Feb 4, 2016 | M | 300,000 | D | Aug 6, 2009 | Feb 2, 2016 | Common stock | 300,000 | 0 | D |
| Stock option right to buy | $3.04 | Feb 4, 2016 | M | 3,730 | D | Mar 22, 2006 | Mar 22, 2016 | Common stock | 3,730 | 171,270 | D |
| Stock option right to buy | $3.04 | Feb 5, 2016 | M | 172,270 | D | Mar 22, 2006 | Mar 22, 2016 | Common stock | 171,270 | 0 | D |
| Stock option right to buy | $3.04 | Feb 5, 2016 | M | 49,006 | D | Mar 22, 2006 | Mar 22, 2016 | Common stock | 49,006 | 125,994 | D |
| Stock option right to buy | $3.04 | Feb 8, 2016 | M | 125,994 | D | Mar 22, 2006 | Mar 22, 2016 | Common stock | 125,994 | 0 | D |
Explanation of responses
- F1This was an exercise of stock options which were due to expire on February 6, 2016.
- F2This was an exercise of stock options which were due to expire on March 22, 2016.
- F3The sale was made under a 10b5-1 trading plan adopted by the reporting person.
- F4Shares were sold ranging from $52.81 per share to $54.38 per share.
- F5Shares were sold ranging from $51.15 per share to $53.62 per share.
- F6Shares were sold ranging from $46.85 per share to $50.05 per share.