0001209191-16-096515.txt : 20160208 0001209191-16-096515.hdr.sgml : 20160208 20160208190902 ACCESSION NUMBER: 0001209191-16-096515 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160204 FILED AS OF DATE: 20160208 DATE AS OF CHANGE: 20160208 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CAVIUM, INC. CENTRAL INDEX KEY: 0001175609 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 770558625 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2315 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95131 BUSINESS PHONE: 650-623-7000 MAIL ADDRESS: STREET 1: 2315 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95131 FORMER COMPANY: FORMER CONFORMED NAME: CAVIUM NETWORKS, INC. DATE OF NAME CHANGE: 20070309 FORMER COMPANY: FORMER CONFORMED NAME: CAVIUM NETWORKS DATE OF NAME CHANGE: 20020614 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ali Syed CENTRAL INDEX KEY: 0001395198 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33435 FILM NUMBER: 161396851 MAIL ADDRESS: STREET 1: 805 EAST MIDDLEFIELD ROAD CITY: MT. VIEW STATE: CA ZIP: 94043 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-02-04 0 0001175609 CAVIUM, INC. CAVM 0001395198 Ali Syed C/O CAVIUM, INC. 2315 N. FIRST STREET SAN JOSE CA 95131 1 1 0 0 Pres., CEO, Chairman of board Common stock 2016-02-04 4 M 0 300000 10.32 A 1685147 D Common stock 2016-02-04 4 M 0 3730 3.04 A 1688877 D Common stock 2016-02-04 4 S 0 186820 53.74 D 1502057 D Common stock 2016-02-05 4 M 0 171270 3.04 A 1673327 D Common stock 2016-02-05 4 M 0 49006 3.04 A 1722333 D Common stock 2016-02-05 4 S 0 120000 51.96 D 1602333 D Common stock 2016-02-08 4 M 0 125994 3.04 A 1728327 D Common stock 2016-02-08 4 S 0 69700 47.97 D 1658627 D Stock option right to buy 10.32 2016-02-04 4 M 0 300000 0.00 D 2009-08-06 2016-02-02 Common stock 300000 0 D Stock option right to buy 3.04 2016-02-04 4 M 0 3730 0.00 D 2006-03-22 2016-03-22 Common stock 3730 171270 D Stock option right to buy 3.04 2016-02-05 4 M 0 172270 0.00 D 2006-03-22 2016-03-22 Common stock 171270 0 D Stock option right to buy 3.04 2016-02-05 4 M 0 49006 0.00 D 2006-03-22 2016-03-22 Common stock 49006 125994 D Stock option right to buy 3.04 2016-02-08 4 M 0 125994 0.00 D 2006-03-22 2016-03-22 Common stock 125994 0 D This was an exercise of stock options which were due to expire on February 6, 2016. This was an exercise of stock options which were due to expire on March 22, 2016. The sale was made under a 10b5-1 trading plan adopted by the reporting person. Shares were sold ranging from $52.81 per share to $54.38 per share. Shares were sold ranging from $51.15 per share to $53.62 per share. Shares were sold ranging from $46.85 per share to $50.05 per share. /s/ Arthur D. Chadwick with Power of Attorney 2016-02-08