CAVIUM, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 16 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-09-04: 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.
- 2014-06-19: 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).
- 2014-06-19: 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).
- 2014-06-19: Reporting owner Rajan Madjav; 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 |
|---|---|---|---|---|---|---|---|---|
| 2014-09-04 | 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 | −42,500 0 owned after | $24.16 exercise price | 2014-09-05 | |
| 2014-06-19 | MEHROTRA SANJAY Director | 4 | Stock option right to buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000 3,000 owned after | $50.83 exercise price | 2014-06-23 | |
| 2014-06-19 | REDDY C N Director | 4 | Stock option right to buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000 3,000 owned after | $50.83 exercise price | 2014-06-23 | |
| 2014-06-19 | Rajan Madjav Director | 4 | Stock option right to buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000 3,000 owned after | $50.83 exercise price | 2014-06-23 | |
| 2014-06-19 | THORNLEY ANTHONY S Director | 4 | Stock option right to buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000 3,000 owned after | $50.83 exercise price | 2014-06-23 | |
| 2014-05-27 | 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 | −57,500 0 owned after | $28.70 exercise price | 2014-05-28 | |
| 2014-05-23 | 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 | −30,000 135,500 owned after | $12.93 exercise price | 2014-05-28 | |
| 2014-05-20 | REDDY C N Director | 4 | Stock option right to buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,500 0 owned after | $17.76 exercise price | 2014-05-21 | |
| 2014-05-20 | REDDY C N Director | 4 | Stock option right to buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,500 0 owned after | $13.50 exercise price | 2014-05-21 | |
| 2014-05-19 | 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 | −66,400 0 owned after | $10.32 exercise price | 2014-05-21 | |
| 2014-05-09 | Ali Syed Director, Officer (Pres., CEO, Chairman of board) | 4 | Stock option right to buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $1.02 exercise price | 2014-05-12 | |
| 2014-05-02 | 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 | −8,600 66,400 owned after | $10.32 exercise price | 2014-05-06 | |
| 2014-02-07 | 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) | +11,000 11,000 owned after | $37.83 exercise price | 2014-02-10 | |
| 2014-02-07 | 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) | +11,000 11,000 owned after | $37.83 exercise price | 2014-02-10 | |
| 2014-02-07 | 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) | +80,000 80,000 owned after | $37.83 exercise price | 2014-02-10 | |
| 2014-02-07 | Pangrazio Vincent P Officer (SVP,Gen. Counsel & Secretary) | 4 | Stock option right to buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,500 6,500 owned after | $37.83 exercise price | 2014-02-10 |