CAVIUM, INC. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 4 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-01-30: Reporting owner Jain Anil Kumar; Form 4; Security Restricted stock units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-01-30: Reporting owner CHADWICK ARTHUR D; Form 4; Security Restricted stock units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-01-30: Reporting owner Ali Syed; Form 4; Security Restricted stock units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-01-30: Reporting owner Pangrazio Vincent P; Form 4; Security Restricted stock units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-01-30 | Jain Anil Kumar Officer (Corporate VP, IC Engineering) | 4 | Restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $0.00 | 2016-02-02 | |
| 2016-01-30 | CHADWICK ARTHUR D Officer (VP Finance & Admin CFO) | 4 | Restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,750 0 owned after | $0.00 | 2016-02-02 | |
| 2016-01-30 | Ali Syed Director, Officer (Pres., CEO, Chairman of board) | 4 | Restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,500 0 owned after | $0.00 | 2016-02-02 | |
| 2016-01-30 | Pangrazio Vincent P Officer (SVP,Gen. Counsel & Secretary) | 4 | Restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −938 0 owned after | $0.00 | 2016-02-02 |