SEC Form 4 · accession 0001209191-16-128605
CAVIUM, INC. · CAVM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
C N Reddy
Director
Period of report
Jun 15, 2016
Accepted (ET)
Jun 17, 2016 · 4:39 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 15, 2016 | A | 5,208 | — | A | 39,614 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This was an annual Restricted Stock Unit (RSU) grant to the reporting person pursuant to Cavium's 2016 Equity Incentive Plan. This RSU grant will vest on April 30, 2017. 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.