0001209191-16-151994.txt : 20161123 0001209191-16-151994.hdr.sgml : 20161123 20161123180717 ACCESSION NUMBER: 0001209191-16-151994 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161121 FILED AS OF DATE: 20161123 DATE AS OF CHANGE: 20161123 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: 162017472 MAIL ADDRESS: STREET 1: 805 EAST MIDDLEFIELD ROAD CITY: MT. VIEW STATE: CA ZIP: 94043 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-11-21 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 2016-11-21 4 M 0 150000 24.16 A 1843431 D Common stock 2016-11-21 4 S 0 109948 54.85 D 1733483 D Stock option right to buy 24.16 2016-11-21 4 M 0 150000 0.00 D 2010-07-06 2017-01-06 Common stock 150000 0 D This was an exercise of stock options which were due to expire on January 6, 2017 The sale was made under a 10b5-1 trading plan as adopted by the reporting person. Shares were sold ranging from $54.50 per share to $55.85 per share. 1/8th of the shares subject to the option vest on the six month anniversary of the vesting commencement date and 1/48th of the shares vest monthly thereafter over the next three and one half years. /s/ Vincent P. Pangrazio, with Power of Attorney 2016-11-23