SEC Form 4 · accession 0001209191-17-002755
CAVIUM, INC. · CAVM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Muhammad Raghib Hussain
Officer — Chief Operating Officer
Period of report
Jan 4, 2017
Accepted (ET)
Jan 6, 2017 · 6:08 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 stockF1,F2 | Jan 4, 2017 | M | 37,500 | $24.16 | A | 365,410 | 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 buyF3 | $24.16 | Jan 4, 2017 | M | 37,500 | D | Jul 6, 2010 | Jan 6, 2017 | Common stock | 37,500 | 0 | D |
Explanation of responses
- F1Both direct and indirect holding. See footnote 2.
- F2Of the amount of securities beneficially owned following reported transactions, 36,000 shares are owned indirectly by the reporting person through multiple family trusts.
- F31/8th of the shares subject to the option vest on the six month anniversary of the vesting commencement date and 1/48th of the shares vest monthly thereafter over the next three and one half years.