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CAVIUM, INC. Forms 3, 4 and 5: Preferred Stock

CAVIUM, INC. Forms 3, 4 and 5: Preferred Stock

Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 78 rows, 78 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.

  • 2008-03-05: Reporting owner CHELLAM KRIS; Form 3/A; Security Series D Preferred Stock; Transaction Holding.
  • 2007-05-07: Reporting owner REDDY C N; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
  • 2007-05-07: Reporting owner REDDY C N; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
  • 2007-05-07: Reporting owner REDDY C N; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
Transaction dateReporting ownerFormSecurityTransactionSharesPricePrice that dayFiling
2008-03-05
holding as of filing
CHELLAM KRIS
Director
3/ASeries D Preferred Stock
Non-derivative · Indirect · (m)
Holding
80,000 owned after
no price filed2008-03-05
2007-05-07REDDY C N
Director
4Series A Preferred Stock
Derivative · Indirect · By Galaxy Venture Partners III, LLC
C Conversion of derivative security−555,555
0 owned after
$0.002008-03-05
2007-05-07REDDY C N
Director
4Series A Preferred Stock
Derivative · Indirect · By Solar Venture Partners LP
C Conversion of derivative security−138,888
0 owned after
$0.002008-03-05
2007-05-07REDDY C N
Director
4Series B Preferred Stock
Derivative · Indirect · By Galaxy Venture Partners III, LLC
C Conversion of derivative security−260,761
0 owned after
$0.002008-03-05
2007-05-07REDDY C N
Director
4Series B Preferred Stock
Derivative · Indirect · By Solar Venture Partners LP
C Conversion of derivative security−152,746
0 owned after
$0.002008-03-05
2007-05-07REDDY C N
Director
4Series D Preferred Stock
Derivative · Indirect · By Solar Venture Partners LP
C Conversion of derivative security−25,206
0 owned after
$0.002008-03-05
2007-05-07REDDY C N
Director
4Series D Preferred Stock
Derivative · Indirect · By Scenic Capital
C Conversion of derivative security−86,207
0 owned after
$0.002008-03-05
2007-05-07CHELLAM KRIS
Director
4Series D Preferred Stock
Derivative · Indirect · By Trust
C Conversion of derivative security−80,000
80,000 owned after
$0.002008-03-05
2007-05-07Alliance Ventures IV, L.P. | AVM Capital Partners LLC | Alliance Ventures III, L.P.
10% Owner | 10% Owner | 10% Owner
4Series A Preferred Stock
Derivative · Indirect · By Alliance Ventures III LP
C Conversion of derivative security−277,777
0 owned after
$0.002007-05-07
2007-05-07Alliance Ventures IV, L.P. | AVM Capital Partners LLC | Alliance Ventures III, L.P.
10% Owner | 10% Owner | 10% Owner
4Series A Preferred Stock
Derivative · Indirect · By Alliance Ventures IV LP
C Conversion of derivative security−1,944,444
0 owned after
$0.002007-05-07
2007-05-07Alliance Ventures IV, L.P. | AVM Capital Partners LLC | Alliance Ventures III, L.P.
10% Owner | 10% Owner | 10% Owner
4Series B Preferred Stock
Derivative · Indirect · By Alliance Ventures IV LP
C Conversion of derivative security−1,495,476
0 owned after
$0.002007-05-07
2007-05-07Alliance Ventures IV, L.P. | AVM Capital Partners LLC | Alliance Ventures III, L.P.
10% Owner | 10% Owner | 10% Owner
4Series C Preferred Stock
Derivative · Indirect · By Alliance Ventures IV LP
C Conversion of derivative security−689,655
0 owned after
$0.002007-05-07
2007-05-07JARVE JOHN W
Director, 10% Owner
4Series B Preferred Stock
Derivative · Indirect · Menlo Ventures IX LP
C Conversion of derivative security−4,153,654
0 owned after
$0.002007-05-07
2007-05-07JARVE JOHN W
Director, 10% Owner
4Series B Preferred Stock
Derivative · Indirect · Menlo Entrepreneurs Fund IX LP
C Conversion of derivative security−148,950
0 owned after
$0.002007-05-07
2007-05-07JARVE JOHN W
Director, 10% Owner
4Series B Preferred Stock
Derivative · Indirect · Menlo Entrepreneurs Fund IX (A), L.P
C Conversion of derivative security−18,054
0 owned after
$0.002007-05-07
2007-05-07JARVE JOHN W
Director, 10% Owner
4Series B Preferred Stock
Derivative · Indirect · MMEF IX, L.P.
C Conversion of derivative security−81,246
0 owned after
$0.002007-05-07
2007-05-07JARVE JOHN W
Director, 10% Owner
4Series C Preferred Stock
Derivative · Indirect · Menlo Ventures IX LP
C Conversion of derivative security−3,268,508
0 owned after
$0.002007-05-07
2007-05-07JARVE JOHN W
Director, 10% Owner
4Series C Preferred Stock
Derivative · Indirect · Menlo Entreprenuers Fund IX LP
C Conversion of derivative security−107,861
0 owned after
$0.002007-05-07
2007-05-07JARVE JOHN W
Director, 10% Owner
4Series C Preferred Stock
Derivative · Indirect · Menlo Entrepreneurs Fund IX (A), L.P
C Conversion of derivative security−13,074
0 owned after
$0.002007-05-07
2007-05-07JARVE JOHN W
Director, 10% Owner
4Series C Preferred Stock
Derivative · Indirect · MMEF IX, L.P.
C Conversion of derivative security−58,833
0 owned after
$0.002007-05-07
2007-05-07JARVE JOHN W
Director, 10% Owner
4Series D Preferred Stock
Derivative · Indirect · Held by Menlo Ventures IX LP
C Conversion of derivative security−1,091,807
0 owned after
$0.002007-05-07
2007-05-07JARVE JOHN W
Director, 10% Owner
4Series D Preferred Stock
Derivative · Indirect · Menlo Entreprenuers Fund IX LP
C Conversion of derivative security−36,029
0 owned after
$0.002007-05-07
2007-05-07JARVE JOHN W
Director, 10% Owner
4Series D Preferred Stock
Derivative · Indirect · Menlo Entrepreneurs Fund IX (A), L.P
C Conversion of derivative security−4,583
0 owned after
$0.002007-05-07
2007-05-07JARVE JOHN W
Director, 10% Owner
4Series D Preferred Stock
Derivative · Indirect · MMEF IX, L.P.
C Conversion of derivative security−20,519
0 owned after
$0.002007-05-07
2007-05-07MENLO VENTURES IX LP | MENLO ENTREPRENEURS FUND IX LP | MENLO ENTREPRENEURS FUND IX A LP | MV MANAGEMENT IX LLC | MMEF IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
4Series B Preferred Stock
Derivative · Indirect · By Menlo Ventures IX LP
C Conversion of derivative security−4,513,654
0 owned after
$0.002007-05-07
2007-05-07MENLO VENTURES IX LP | MENLO ENTREPRENEURS FUND IX LP | MENLO ENTREPRENEURS FUND IX A LP | MV MANAGEMENT IX LLC | MMEF IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
4Series B Preferred Stock
Derivative · Indirect · By Menlo Entrepreneurs Fund IX LP
C Conversion of derivative security−148,950
0 owned after
$0.002007-05-07
2007-05-07MENLO VENTURES IX LP | MENLO ENTREPRENEURS FUND IX LP | MENLO ENTREPRENEURS FUND IX A LP | MV MANAGEMENT IX LLC | MMEF IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
4Series B Preferred Stock
Derivative · Indirect · Menlo Entrepreneurs Fund IX (A), L.P
C Conversion of derivative security−18,054
0 owned after
$0.002007-05-07
2007-05-07MENLO VENTURES IX LP | MENLO ENTREPRENEURS FUND IX LP | MENLO ENTREPRENEURS FUND IX A LP | MV MANAGEMENT IX LLC | MMEF IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
4Series B Preferred Stock
Derivative · Indirect · MMEF IX, L.P.
C Conversion of derivative security−81,246
0 owned after
$0.002007-05-07
2007-05-07MENLO VENTURES IX LP | MENLO ENTREPRENEURS FUND IX LP | MENLO ENTREPRENEURS FUND IX A LP | MV MANAGEMENT IX LLC | MMEF IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
4Series C Preferred Stock
Derivative · Indirect · By Menlo Ventures IX LP
C Conversion of derivative security−3,268,508
0 owned after
$0.002007-05-07
2007-05-07MENLO VENTURES IX LP | MENLO ENTREPRENEURS FUND IX LP | MENLO ENTREPRENEURS FUND IX A LP | MV MANAGEMENT IX LLC | MMEF IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
4Series C Preferred Stock
Derivative · Indirect · By Menlo Entreprenuers Fund IX LP
C Conversion of derivative security−107,861
0 owned after
$0.002007-05-07
2007-05-07MENLO VENTURES IX LP | MENLO ENTREPRENEURS FUND IX LP | MENLO ENTREPRENEURS FUND IX A LP | MV MANAGEMENT IX LLC | MMEF IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
4Series C Preferred Stock
Derivative · Indirect · Menlo Entrepreneurs Fund IX (A), L.P
C Conversion of derivative security−13,074
0 owned after
$0.002007-05-07
2007-05-07MENLO VENTURES IX LP | MENLO ENTREPRENEURS FUND IX LP | MENLO ENTREPRENEURS FUND IX A LP | MV MANAGEMENT IX LLC | MMEF IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
4Series C Preferred Stock
Derivative · Indirect · MMEF IX, L.P.
C Conversion of derivative security−58,833
0 owned after
$0.002007-05-07
2007-05-07MENLO VENTURES IX LP | MENLO ENTREPRENEURS FUND IX LP | MENLO ENTREPRENEURS FUND IX A LP | MV MANAGEMENT IX LLC | MMEF IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
4Series D Preferred Stock
Derivative · Indirect · By Menlo Ventures IX LP
C Conversion of derivative security−1,091,807
0 owned after
$0.002007-05-07
2007-05-07MENLO VENTURES IX LP | MENLO ENTREPRENEURS FUND IX LP | MENLO ENTREPRENEURS FUND IX A LP | MV MANAGEMENT IX LLC | MMEF IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
4Series D Preferred Stock
Derivative · Indirect · By Menlo Entreprenuers Fund IX LP
C Conversion of derivative security−36,029
0 owned after
$0.002007-05-07
2007-05-07MENLO VENTURES IX LP | MENLO ENTREPRENEURS FUND IX LP | MENLO ENTREPRENEURS FUND IX A LP | MV MANAGEMENT IX LLC | MMEF IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
4Series D Preferred Stock
Derivative · Indirect · Menlo Entrepreneurs Fund IX (A), L.P
C Conversion of derivative security−4,583
0 owned after
$0.002007-05-07
2007-05-07MENLO VENTURES IX LP | MENLO ENTREPRENEURS FUND IX LP | MENLO ENTREPRENEURS FUND IX A LP | MV MANAGEMENT IX LLC | MMEF IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
4Series D Preferred Stock
Derivative · Indirect · MMEF IX, L.P.
C Conversion of derivative security−20,519
0 owned after
$0.002007-05-07
2007-05-07Pantuso Anthony
Director
4Series C Preferred Stock
Derivative · Indirect · By NeoCarta Scout Fund LLC
C Conversion of derivative security−34,482
0 owned after
$0.002007-05-07
2007-05-07Pantuso Anthony
Director
4Series D Preferred Stock
Derivative · Indirect · By NeoCarta Scout Fund LLC
C Conversion of derivative security−138,865
0 owned after
$0.002007-05-07
2007-05-07Pantuso Anthony
Director
4Series C Preferred Stock
Derivative · Indirect · By NeoCarta Ventures LP
C Conversion of derivative security−310,345
0 owned after
$0.002007-05-07
2007-05-07Pantuso Anthony
Director
4Series D Preferred Stock
Derivative · Indirect · By NeoCarta Ventures LP
C Conversion of derivative security−1,249,796
0 owned after
$0.002007-05-07
2007-05-01
holding as of filing
MENLO ENTREPRENEURS FUND IX LP | MV MANAGEMENT IX LLC | MENLO ENTREPRENEURS FUND IX A LP | MMEF IX LP | MENLO VENTURES IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
3Series B Preferred Stock
Derivative · Indirect · Menlo Ventures IX LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
MENLO ENTREPRENEURS FUND IX LP | MV MANAGEMENT IX LLC | MENLO ENTREPRENEURS FUND IX A LP | MMEF IX LP | MENLO VENTURES IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
3Series C Preferred Stock
Derivative · Indirect · Menlo Ventures IX LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
MENLO ENTREPRENEURS FUND IX LP | MV MANAGEMENT IX LLC | MENLO ENTREPRENEURS FUND IX A LP | MMEF IX LP | MENLO VENTURES IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
3Series D Preferred Stock
Derivative · Indirect · Menlo Ventures IX LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
MENLO ENTREPRENEURS FUND IX LP | MV MANAGEMENT IX LLC | MENLO ENTREPRENEURS FUND IX A LP | MMEF IX LP | MENLO VENTURES IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
3Series B Preferred Stock
Derivative · Indirect · Menlo Entrepreneurs Fund IX LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
MENLO ENTREPRENEURS FUND IX LP | MV MANAGEMENT IX LLC | MENLO ENTREPRENEURS FUND IX A LP | MMEF IX LP | MENLO VENTURES IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
3Series C Preferred Stock
Derivative · Indirect · Menlo Entreprenerus Fund IX LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
MENLO ENTREPRENEURS FUND IX LP | MV MANAGEMENT IX LLC | MENLO ENTREPRENEURS FUND IX A LP | MMEF IX LP | MENLO VENTURES IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
3Series D Preferred Stock
Derivative · Indirect · Menlo Entrepreneurs Fund IX LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
MENLO ENTREPRENEURS FUND IX LP | MV MANAGEMENT IX LLC | MENLO ENTREPRENEURS FUND IX A LP | MMEF IX LP | MENLO VENTURES IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
3Series B Preferred Stock
Derivative · Indirect · Menlo Entrepreneurs Fund IX (A) LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
MENLO ENTREPRENEURS FUND IX LP | MV MANAGEMENT IX LLC | MENLO ENTREPRENEURS FUND IX A LP | MMEF IX LP | MENLO VENTURES IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
3Series C Preferred Stock
Derivative · Indirect · Menlo Entrepreneurs Fund IX (A) LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
MENLO ENTREPRENEURS FUND IX LP | MV MANAGEMENT IX LLC | MENLO ENTREPRENEURS FUND IX A LP | MMEF IX LP | MENLO VENTURES IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
3Series D Preferred Stock
Derivative · Indirect · Menlo Entrepreneurs Fund IX (A) LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
MENLO ENTREPRENEURS FUND IX LP | MV MANAGEMENT IX LLC | MENLO ENTREPRENEURS FUND IX A LP | MMEF IX LP | MENLO VENTURES IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
3Series B Preferred Stock
Derivative · Indirect · MMEF IX LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
MENLO ENTREPRENEURS FUND IX LP | MV MANAGEMENT IX LLC | MENLO ENTREPRENEURS FUND IX A LP | MMEF IX LP | MENLO VENTURES IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
3Series C Preferred Stock
Derivative · Indirect · MMEF IX LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
MENLO ENTREPRENEURS FUND IX LP | MV MANAGEMENT IX LLC | MENLO ENTREPRENEURS FUND IX A LP | MMEF IX LP | MENLO VENTURES IX LP
10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
3Series D Preferred Stock
Derivative · Indirect · MMEF IX LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
Alliance Ventures III, L.P. | Alliance Ventures IV, L.P. | AVM Capital Partners LLC
10% Owner | 10% Owner | 10% Owner
3Series A Preferred Stock
Derivative · Indirect · Held by Alliance Ventures III LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
Alliance Ventures III, L.P. | Alliance Ventures IV, L.P. | AVM Capital Partners LLC
10% Owner | 10% Owner | 10% Owner
3Series A Preferred Stock
Derivative · Indirect · Held by Alliance Ventures IV LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
Alliance Ventures III, L.P. | Alliance Ventures IV, L.P. | AVM Capital Partners LLC
10% Owner | 10% Owner | 10% Owner
3Series B Preferred Stock
Derivative · Indirect · Held by Alliance Ventures IV LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
Alliance Ventures III, L.P. | Alliance Ventures IV, L.P. | AVM Capital Partners LLC
10% Owner | 10% Owner | 10% Owner
3Series C Preferred Stock
Derivative · Indirect · Held by Alliance Ventures IV LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
Pantuso Anthony
Director
3Series C Preferred Stock
Derivative · Indirect · Held by NeoCarta Scout Fund, LLC
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
Pantuso Anthony
Director
3Series D Preferred Stock
Derivative · Indirect · Held by NeoCarta Scout Fund LLC
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
Pantuso Anthony
Director
3Series C Preferred Stock
Derivative · Indirect · Held by NeoCarta Ventures LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
Pantuso Anthony
Director
3Series D Preferred Stock
Derivative · Indirect · Held by NeoCarta Ventures LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
REDDY C N
Director
3Series A Preferred Stock
Derivative · Indirect · By Galaxy Venture Partners III, LLC
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
REDDY C N
Director
3Series A Preferred Stock
Derivative · Indirect · By Solar Venture Partners LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
REDDY C N
Director
3Series B Preferred Stock
Derivative · Indirect · By Solar Venture Partners LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
REDDY C N
Director
3Series B Preferred Stock
Derivative · Indirect · By Galaxy Venture Partners III LLC
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
REDDY C N
Director
3Series D Preferred Stock
Derivative · Indirect · By Solar Venture Partners LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
REDDY C N
Director
3Series D Preferred Stock
Derivative · Indirect · By Scenic Capital
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
JARVE JOHN W
Director, 10% Owner
3Series B Preferred Stock
Derivative · Indirect · Menlo Ventures IX LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
JARVE JOHN W
Director, 10% Owner
3Series C Preferred Stock
Derivative · Indirect · Menlo Ventures IX LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
JARVE JOHN W
Director, 10% Owner
3Series D Preferred Stock
Derivative · Indirect · Menlo Venture IX LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
JARVE JOHN W
Director, 10% Owner
3Series B Preferred Stock
Derivative · Indirect · Menlo Entrepreneurs Fund IX LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
JARVE JOHN W
Director, 10% Owner
3Series C Preferred Stock
Derivative · Indirect · Menlo Entrepreneurs Fund IX LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
JARVE JOHN W
Director, 10% Owner
3Series D Preferred Stock
Derivative · Indirect · Menlo Entrepreneurs Fund IX LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
JARVE JOHN W
Director, 10% Owner
3Series B Preferred Stock
Derivative · Indirect · Menlo Entrepreneurs Fund IX (A) LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
JARVE JOHN W
Director, 10% Owner
3Series C Preferred Stock
Derivative · Indirect · Menlo Entrepreneurs Fund IX (A) LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
JARVE JOHN W
Director, 10% Owner
3Series D Preferred Stock
Derivative · Indirect · Menlo Entrepreneurs Fund IX (A) LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
JARVE JOHN W
Director, 10% Owner
3Series B Preferred Stock
Derivative · Indirect · MMEF IX LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
JARVE JOHN W
Director, 10% Owner
3Series C Preferred Stock
Derivative · Indirect · MMEF IX LP
Holdingno price filed2007-05-01
2007-05-01
holding as of filing
JARVE JOHN W
Director, 10% Owner
3Series D Preferred Stock
Derivative · Indirect · MMEF IX LP
Holdingno price filed2007-05-01