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: 15 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-07-31: 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.
- 2011-07-31: 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.
- 2011-04-30: 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.
- 2011-03-10: Reporting owner Ali Syed; Form 4/A; Security Restricted Stock Units; 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 |
|---|---|---|---|---|---|---|---|---|
| 2011-07-31 | Pangrazio Vincent P Officer (SVP & General Counsel) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,812 36,563 owned after | $0.00 | 2011-11-02 | |
| 2011-07-31 | Pangrazio Vincent P Officer (SVP & General Counsel) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,813 39,375 owned after | $0.00 | 2011-08-04 | |
| 2011-04-30 | Pangrazio Vincent P Officer (SVP & General Counsel) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,812 42,188 owned after | $0.00 | 2011-05-03 | |
| 2011-03-10 | Ali Syed Director, Officer (Pres., CEO, Chairman of board) | 4/A | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +42,000 87,000 owned after | $0.00 | 2011-03-29 | |
| 2011-03-10 | CHADWICK ARTHUR D Officer (VP Finance & Admin CFO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,000 24,750 owned after | $0.00 | 2011-03-14 | |
| 2011-03-10 | Khemani Rajiv Officer (Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,000 50,500 owned after | $0.00 | 2011-03-14 | |
| 2011-03-10 | Gujral Manoj Officer (VP & GM, Broadband & Consumer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 54,500 owned after | $0.00 | 2011-03-14 | |
| 2011-03-10 | Jain Anil Kumar Officer (Corporate VP, IC Engineering) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,500 21,750 owned after | $0.00 | 2011-03-14 | |
| 2011-03-10 | Ali Syed Director, Officer (Pres., CEO, Chairman of board) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +42,000 87,000 owned after | $0.00 | 2011-03-14 | |
| 2011-03-10 | Pangrazio Vincent P Officer (SVP & General Counsel) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 45,000 owned after | $0.00 | 2011-03-14 | |
| 2011-01-30 | Gujral Manoj Officer (VP & GM, Broadband & Consumer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,500 49,500 owned after | no price filed | 2011-02-01 | |
| 2011-01-30 | Khemani Rajiv Officer (Chief Operating Officer) | 4 | Restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,500 22,500 owned after | no price filed | 2011-02-01 | |
| 2011-01-30 | 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 | −3,750 11,250 owned after | no price filed | 2011-02-01 | |
| 2011-01-30 | 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 | −4,250 12,750 owned after | no price filed | 2011-02-01 | |
| 2011-01-30 | 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 | −15,000 45,000 owned after | no price filed | 2011-02-01 |