CAVIUM, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 12 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-08-26: Reporting owner CHADWICK ARTHUR D; Form 4; Security Stock Option Right to Buy; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-05-30: Reporting owner REDDY C N; Form 4; Security Stock Option Right to Buy; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-05-30: Reporting owner MEHROTRA SANJAY; Form 4; Security Stock Option Right to Buy; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-05-30: Reporting owner THORNLEY ANTHONY S; Form 4; Security Stock Option Right to Buy; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-08-26 | CHADWICK ARTHUR D Officer (VP Finance & Admin CFO) | 4 | Stock Option Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,000 12,500 owned after | $10.32 exercise price | 2013-08-26 | |
| 2013-05-30 | REDDY C N Director | 4 | Stock Option Right to Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 7,000 owned after | $33.44 exercise price | 2013-06-03 | |
| 2013-05-30 | MEHROTRA SANJAY Director | 4 | Stock Option Right to Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 7,000 owned after | $33.44 exercise price | 2013-06-03 | |
| 2013-05-30 | THORNLEY ANTHONY S Director | 4 | Stock Option Right to Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 7,000 owned after | $33.44 exercise price | 2013-06-03 | |
| 2013-05-30 | Pantuso Anthony Director | 4 | Stock Option Right to Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 7,000 owned after | $33.44 exercise price | 2013-06-03 | |
| 2013-03-22 | CHADWICK ARTHUR D Officer (VP Finance & Admin CFO) | 4 | Stock Option Right to Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +22,000 22,000 owned after | $37.63 exercise price | 2013-03-26 | |
| 2013-03-22 | Jain Anil Kumar Officer (Corporate VP, IC Engineering) | 4 | Stock Option Right to Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +22,000 22,000 owned after | $37.63 exercise price | 2013-03-26 | |
| 2013-03-22 | Ali Syed Director, Officer (Pres., CEO, Chairman of board) | 4 | Stock Option Right to Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $37.63 exercise price | 2013-03-26 | |
| 2013-03-22 | Pangrazio Vincent P Officer (SVP & General Counsel) | 4 | Stock Option Right to Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,000 13,000 owned after | $37.63 exercise price | 2013-03-26 | |
| 2013-03-22 | Rajan Madjav Director | 4 | Stock Option Right to Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $37.63 exercise price | 2013-03-26 | |
| 2013-03-14 | Jain Anil Kumar Officer (Corporate VP, IC Engineering) | 4 | Stock Option Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 0 owned after | $14.80 exercise price | 2013-03-15 | |
| 2013-02-22 | Jain Anil Kumar Officer (Corporate VP, IC Engineering) | 4 | Stock Option Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,750 0 owned after | $3.04 exercise price | 2013-02-25 |