SEC Form 4 · accession 0001209191-18-019263
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
Mar 9, 2018
Accepted (ET)
Mar 13, 2018 · 5:00 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 stock | Mar 9, 2018 | M | 5,397 | $35.73 | A | 105,612 | D | |
| Common stock | Mar 9, 2018 | M | 6,747 | $37.63 | A | 112,359 | D | |
| Common stockF2 | Mar 9, 2018 | S | 20,924 | $92.52 | D | 91,435 | 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 | $35.73 | Mar 9, 2018 | M | 5,397 | D | — | Feb 24, 2019 | Common stock | 5,397 | 2,187 | D |
| Stock option right to buyF3 | $37.63 | Mar 9, 2018 | M | 6,747 | D | — | Mar 22, 2020 | Common stock | 6,747 | 5,171 | 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 $92.50 per share to $92.66 per share.
- F31/8th of the shares subject to the option vest on the six month anniversary of the grant date and 1/48th of the shares vest monthly thereafter over the next three and one half years.