SEC Form 4 · accession 0001209191-16-100736
CAVIUM, INC. · CAVM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony S Thornley
Director
Period of report
Feb 17, 2016
Accepted (ET)
Feb 19, 2016 · 7:02 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 17, 2016 | M | 12,500 | $13.50 | A | 18,000 | D | |
| Common stockF2 | Feb 17, 2016 | S | 12,500 | $57.04 | D | 5,500 | 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 buyF3 | $13.50 | Feb 17, 2016 | M | 12,500 | D | Jun 8, 2009 | May 8, 2016 | Common stock | 12,500 | 0 | D |
Explanation of responses
- F1This was an exercise of stock options which were due to expire on May 8, 2016.
- F2Shares were sold ranging from $56.91 per share to $57.37 per share.
- F31/48th of the shares subject to the option vest monthly over 48 months.