SEC Form 4 · accession 0001209191-18-012039
CAVIUM, INC. · CAVM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anil Kumar Jain
Officer — Corporate VP, IC Engineering
Period of report
Feb 16, 2018
Accepted (ET)
Feb 21, 2018 · 5:34 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 16, 2018 | M | 1,168 | $37.22 | A | 116,274 | D | |
| Common stockF2 | Feb 16, 2018 | S | 16,059 | $87.51 | D | 100,215 | 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 | $37.22 | Feb 16, 2018 | M | 1,168 | D | — | Mar 10, 2018 | Common Stock | 1,168 | 0 | D |
Explanation of responses
- F1The sale was made under a 10b5-1 trading plan as adopted by the reporting person.
- F2Shares were sold ranging from $86.95 per share to $87.64 per share.
- 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.