Item 5. Other Information
Item 5. Other Information
(c) In the second quarter of fiscal 2024, the following trading plans were adopted or terminated by an executive officer or director of the Company:
Name Title Adopted or Terminated Adoption/Termination Date Plan Start Date Plan End Date Transactions Shares
Officers
Sandeep Bharathi Chief Development Officer Adopted 6/27/2023 9/26/2023 5/31/2024 Sales 48,489
Dan Christman EVP, Storage Products Group Adopted 7/14/2023 10/16/2023 6/28/2024 Sales 30,000
Mitch Gaynor Chief Administration Officer Adopted 6/27/2023 10/16/2023 2/29/2024 Sales 40,000
Dean Jarnac EVP, Worldwide Sales Adopted 7/13/2023 10/16/2023 6/28/2024 Sales 15,000
Chris Koopmans Chief Operations Officer Adopted 7/14/2023 10/16/2023 7/31/2024 Sales 50,000
Willem Meintjes Chief Financial Officer Adopted 6/15/2023 9/18/2023 5/23/2024 Sales 8,864
Directors
Ford Tamer Adopted 6/6/2023 9/6/2023 3/6/2024 Sales 90,000
(1) Vesting of future performance shares are estimated based on target achievement.
(2) If the plan covers "net" vested shares, then the current tax rate has been applied.
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Item 6. Exhibits
Exhibit No. Item Form File Number Incorporated by
Reference from
Exhibit Number Filed with SEC
2.1** Agreement and Plan of Merger and Reorganization, dated as of October 29, 2020, by and among Marvell Technology Group Ltd., Inphi Corporation, Maui HoldCo, Inc., Maui Acquisition Company Ltd and Indigo Acquisition Corp.
8-K 000-30877 2.1 10/30/2020
2.2 Agreement and Plan of Merger by and among the Company, Kauai Acquisition Corp., and Cavium, Inc. dated as of November 19, 2017
8-K 000-30877 2.1 11/20/2017
2.3 Asset Purchase Agreement between Marvell and NXP dated May 29, 2019
10-Q 000-30877 2.1 9/4/2019
3.1 Second Amended and Restated Certificate of Incorporation of Marvell Technology, Inc.
8-K 001-40357 3.1 3/15/2023
3.2 Amended and Restated Bylaws of Marvell Technology, Inc.
8-K 001-40357 3.2 4/20/2021
4.1 Base Indenture, dated as of April 12, 2021, between Marvell Technology, Inc. and U.S. Bank National Association, as trustee
8-K 000-30877 4.1 4/12/2021
4.2 First Supplemental Indenture, dated as of April 12, 2021, by and among Marvell Technology, Inc., Marvell Technology Group Ltd. and U.S. Bank National Association, as trustee
8-K 000-30877 4.2 4/12/2021
4.3 Form of $500,000,000 1.650% Senior Notes due 2026 (included as Exhibit A to Exhibit 4.2)
8-K 000-30877 4.3 4/12/2021
4.5 Form of $750,000,000 2.450% Senior Notes due 2028 (included as Exhibit B to Exhibit 4.2)
8-K 000-30877 4.4 4/12/2021
4.6 Form of $750,000,000 2.950% Senior Notes due 2031 (included as Exhibit C to Exhibit 4.2)
8-K 000-30877 4.5 4/12/2021
4.7 Second Supplemental Indenture, dated as of May 4, 2021, between Marvell Technology, Inc. and U.S. Bank National Association, as trustee
8-K 001-40357 4.2 5/4/2021
4.8 Form of $433,817,000 4.200% Senior Notes due 2023 (included as Exhibit A to Exhibit 4.2)
8-K 001-40357 4.3 5/4/2021
4.9 Form of $479,394,000 4.875% Senior Notes due 2028 (included as Exhibit B to Exhibit 4.2)
8-K 001-40357 4.4 5/4/2021
4.10 Base Indenture, dated as of June 22, 2018, by and between Marvell Technology Group Ltd. and U.S. Bank Trust Company, National Association (as successor to U.S. Bank National Association), as trustee.
8-K 000-30877 4.1 6/22/2018
4.11 First Supplemental Indenture, dated as of June 22, 2018, by and between Marvell Technology Group Ltd. and U.S. Bank Trust Company, National Association (as successor to U.S. Bank National Association), as trustee
8-K 000-30877 4.2 6/22/2018
4.12 Second Supplemental Indenture, dated as of April 15, 2021, by and between Marvell Technology Group Ltd. and U.S. Bank National Association
8-K 000-30877 4.1 4/19/2021
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4.12 The description of the Registrant’s Common Stock, par value $0.002 per share, contained in the Registrant’s Registration Statement on Form S-4 initially filed with the Commission on December 22, 2020, as amended
10-K 001-40357 4.12 3/9/2023
10.1 Form of Indemnification Agreement
8-K 001-40357 10.1 4/20/2021
10.2** Credit Agreement, dated as of December 7, 2020, among Marvell Technology Group Ltd., Maui HoldCo, Inc., the Guarantors party thereto, the Lenders party thereto and JPMorgan Chase Bank, N.A., as the Administrative Agent
8-K 000-30877 10.1 12/8/2020
10.3 First Amendment to Credit Agreement, dated as of April 14, 2023, is made between, among others, Marvell Technology, Inc., a Delaware corporation , the LENDERS party hereto and JPMorgan Chase Bank, N.A., as the Administrative Agent
8-K 001-40357 10.2 4/17/2023
10.4** Amended and Restated Revolving Credit Agreement dated as of April 14, 2023, among Marvell Technology, Inc.., a Delaware corporation, the Lenders party hereto and Bank of America, N.A., as the Administrative Agent.
8-K 001-40357 10.1 4/17/2023
10.5 Form of Exchange Agreement
8-K 001-40357 10.1 4/21/2021
10.6 Registration Rights Agreement, dated as of April 12, 2021, by and among Marvell Technology, Inc., Marvell Technology Group Ltd. and J.P. Morgan Securities, LLC, BofA Securities, Inc. and Wells Fargo Securities, LLC, as representatives of the initial purchasers of the Notes
8-K 000-30877 10.1 4/12/2021
10.7# Marvell Technology Group Ltd. Amended and Restated 1995 Stock Option Plan (now named the Marvell Technology, Inc. Amended and Restated 1995 Stock Option Plan) (as amended and restated as of April 2, 2021)
S-8 333-255384 4.1 4/20/2021
10.7.1# Form of Stock Option Agreement and Notice of Grant of Stock Options and Option Agreement for use with 1995 Stock Option Plan (for options granted after September 20, 2013)
8-K 000-30877 10.2 9/26/2013
10.7.2# Form of Performance Award Agreement and Notice of Grant of Performance Award and Award Agreement for use with the Amended and Restated 1995 Stock Option Plan
10-Q 000-30877 10.2 6/5/2014
10.7.3# Form of Deferral Feature Stock Unit Agreement with Stock Unit Election Form for use with the Amended and Restated 1995 Stock Option Plan
10-K 000-30877 10.3.11 3/29/2018
10.7.4# Form of Relative TSR RSU Grant Notice
10-Q 000-30877 10.3 6/6/2019
10.7.5# Form of Value Creation Performance Based Restricted Stock Unit Grant Notice
10-Q 000-30877 10.1 6/6/2019
10.7.6# Amended and restated form of stock unit agreement under the 1995 Stock Option Plan as amended June 2021
10-Q 001-40357 10.21 8/27/2021
10.7.7# Form of Relative TSR RSU Grant Notice as amended March 2022
10-Q 001-40357 10.7.7# 5/27/2022
10.7.8# Form of Relative TSR and EPS RSU Grant Notice
10-Q 001-40357 10.7.8# 5/27/2022
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10.7.9# Form of Relative TSR and EPS RSU Grant Notice December 2022
10-K 001-40357 10.7.9 3/9/2023
10.7.10# Form of Relative TSR and EPS RSU Grant Notice April 2023
10-Q 001-40357 10.7.10 5/26/2023
10.7.11# ** Special Equity Grant Agreement as approved March 2023
10-Q 001-40357 10.7.11 5/26/2023
10.8# Amended and Restated Marvell Technology, Inc. 2000 Employee Stock Purchase Plan (as approved by stockholders on June 23, 2022)
10-K 001-40357 10.8.1 3/9/2023
10.8.1# Amended and restated form of subscription agreement under the 2000 ESPP as amended June 2021
10-Q 001-40357 10.22 8/27/2021
10.9# Offer Letter between the Marvell and Matthew J. Murphy and form of Severance Agreement attached thereto as Appendix B
8-K 000-30877 10.1 6/20/2016
10.9.1# Severance Agreement with Matt Murphy as amended March 2023
10-Q 001-40357 10.9.1 5/26/2023
10.10# Cavium, Inc. 2016 Equity Incentive Plan (including forms of grant notice and agreements)
10-Q 000-30877 10.1 12/4/2019
10.11# Cavium, Inc. 2007 Equity Incentive Plan (including forms of grant notice and agreements)
10-Q 000-30877 10.2 12/4/2019
10.12# QLogic Corporation 2005 Performance Incentive Plan (including forms of grant notice and agreements)
10-Q 000-30877 10.3 12/4/2019
10.13# Aquantia Corp. 2017 Equity Incentive Plan (including forms of grant notice and agreements)
10-Q 000-30877 10.6 12/4/2019
10.14# Aquantia Corp. 2015 Equity Incentive Plan (including forms of grant notice and agreements)
10-Q 000-30877 10.5 12/4/2019
10.15# Aquantia Corp. 2004 Equity Incentive Plan (including forms of grant notice and agreements)
10-Q 000-30877 10.4 12/4/2019
10.16# Inphi Corporation Amended and Restated 2010 Stock Incentive Plan, as amended and restated on April 14, 2020
S-8 333-255384 4.10 4/20/2021
10.17# Offer letter with Loi Nguyen
10-Q 001-40357 10.17 6/9/2021
10.18# Offer letter with Chris Koopmans
10-Q 000-30877 10.4 9/8/2016
10.19# Fiscal 2024 Named Executive Officer Compensation
10-Q 001-40357 10.19 5/26/2023
10.21# Marvell Technology Inc. Change in Control Severance Plan and Summary Plan Description as amended and restated June 2023
Filed Herewith
10.22 Warrant to Purchase Common Shares of Marvell dated June 5, 2019
8-K 000-30877 99.1 6/5/2019
10.23# Offer Letter between Marvell and Mitchell Gaynor
10-Q 000-30877 10.3 9/8/2016
10.24# Severance Agreement between the Company and Mitchell Gaynor
10-K 000-30877 10.23 3/28/2017
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10.25# Promotion to CFO Letter for Willem Meintjes
10-K 001-40357 10.29 3/9/2023
10.26# Offer Letter between Marvell and Raghib Hussain
10-Q 000-30877 10.3 9/12/2018
10.27# Offer Letter for Dean Jarnac and promotion summary of terms
10-Q 000-30877 10.9 12/4/2019
10.28# Innovium, Inc. Amended 2015 Stock Option and Grant Plan (including forms of grant notice and agreements)
S-8 333-260060 4.1 10/5/2021
10.29 Registration Rights Agreement, dated as of May 4, 2021, by and between Marvell Technology, Inc. and J.P. Morgan Securities LLC
S-4 333-260832 4.6 11/5/2021
31.1 Rule 13a-14(a)/15d-14(a) Certification of the Principal Executive Officer
Filed herewith
31.2 Rule 13a-14(a)/15d-14(a) Certification of the Principal Financial Officer
Filed herewith
32.1* Certification Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 for Principal Executive Officer
Filed herewith
32.2* Certification Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 for Principal Financial Officer
Filed herewith
101.INS Inline XBRL Instance Document Filed herewith
101.SCH Inline XBRL Taxonomy Extension Schema Document Filed herewith
101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document Filed herewith
101.DEF Inline XBRL Taxonomy Extension Definition Document Filed herewith
101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document Filed herewith
101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document Filed herewith
104 The cover page for this Form 10-Q, formatted in Inline XBRL (included in Exhibit 101) Filed herewith
# Management contracts or compensation plans or arrangements with, or in which, directors or executive officers are eligible to participate.
* The certifications furnished in Exhibits 32.1 and 32.2 hereto are deemed to accompany this Form 10-Q and will not be deemed “filed” for purposes of Section 18 of the Exchange Act. Such certifications will not be deemed to be incorporated by reference into any filings under the Securities Act or the Exchange Act, except to the extent that the registrant specifically incorporates it by reference.
** Pursuant to Item 601(a)(5) of Regulation S-K, certain schedules and similar attachments have been omitted. The registrant hereby agrees to furnish a copy of any omitted schedule or similar attachment to the SEC upon request.
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
MARVELL TECHNOLOGY, INC.
Date: August 25, 2023
By: / S / WILLEM MEINTJES
Willem Meintjes
Chief Financial Officer
(Principal Financial Officer)
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Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.