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Filing Details

Accession Number:
0000899243-18-010288
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-04-17 18:18:09
Reporting Period:
2018-04-13
Accepted Time:
2018-04-17 18:18:09
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1730168 Broadcom Inc. AVGO () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1415357 Kenneth Hao C/o Silver Lake Partners
2775 Sand Hill Road, Suite 100
Menlo Park CA 94025
Yes No No No
1418226 Silver Lake Group, L.l.c. C/o Silver Lake
2775 Sand Hill Road, Suite 100
Menlo Park CA 94025
Yes No No No
1735863 Silver Lake Technology Investors V, L.p. C/o Silver Lake
2775 Sand Hill Road, Suite 100
Menlo Park CA 94025
Yes No No No
1737652 Slta V (Gp), L.l.c. C/o Silver Lake
2775 Sand Hill Road, Suite 100
Menlo Park CA 94025
Yes No No No
1737657 Silver Lake Technology Associates V, L.p. C/o Silver Lake
2775 Sand Hill Road, Suite 100
Menlo Park CA 94025
Yes No No No
1737659 Silver Lake Partners V De (Aiv), L.p. C/o Silver Lake
2775 Sand Hill Road, Suite 100
Menlo Park CA 94025
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, $0.001 Par Value Acquisiton 2018-04-13 4,976 $245.50 4,976 No 4 P Indirect Held through Silver Lake Partners V DE (AIV), L.P.
Common Stock, $0.001 Par Value Acquisiton 2018-04-13 71 $245.50 71 No 4 P Indirect Held through Silver Lake Technology Investors V, L.P.
Common Stock, $0.001 Par Value Acquisiton 2018-04-13 47,594 $246.38 52,570 No 4 P Indirect Held through Silver Lake Partners V DE (AIV), L.P.
Common Stock, $0.001 Par Value Acquisiton 2018-04-13 681 $246.38 752 No 4 P Indirect Held through Silver Lake Technology Investors V, L.P.
Common Stock, $0.001 Par Value Acquisiton 2018-04-13 99,517 $247.50 152,087 No 4 P Indirect Held through Silver Lake Partners V DE (AIV), L.P.
Common Stock, $0.001 Par Value Acquisiton 2018-04-13 1,424 $247.50 2,176 No 4 P Indirect Held through Silver Lake Technology Investors V, L.P.
Common Stock, $0.001 Par Value Acquisiton 2018-04-13 121,864 $248.33 273,951 No 4 P Indirect Held through Silver Lake Partners V DE (AIV), L.P.
Common Stock, $0.001 Par Value Acquisiton 2018-04-13 1,744 $248.33 3,920 No 4 P Indirect Held through Silver Lake Technology Investors V, L.P.
Common Stock, $0.001 Par Value Acquisiton 2018-04-13 65,947 $249.17 339,898 No 4 P Indirect Held through Silver Lake Partners V DE (AIV), L.P.
Common Stock, $0.001 Par Value Acquisiton 2018-04-13 943 $249.17 4,863 No 4 P Indirect Held through Silver Lake Technology Investors V, L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Held through Silver Lake Partners V DE (AIV), L.P.
No 4 P Indirect Held through Silver Lake Technology Investors V, L.P.
No 4 P Indirect Held through Silver Lake Partners V DE (AIV), L.P.
No 4 P Indirect Held through Silver Lake Technology Investors V, L.P.
No 4 P Indirect Held through Silver Lake Partners V DE (AIV), L.P.
No 4 P Indirect Held through Silver Lake Technology Investors V, L.P.
No 4 P Indirect Held through Silver Lake Partners V DE (AIV), L.P.
No 4 P Indirect Held through Silver Lake Technology Investors V, L.P.
No 4 P Indirect Held through Silver Lake Partners V DE (AIV), L.P.
No 4 P Indirect Held through Silver Lake Technology Investors V, L.P.
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, $0.001 Par Value 1,587,737 Indirect Held through SLP Argo I Ltd.
Common Stock, $0.001 Par Value 30,830 Indirect Held through SLP Argo II Ltd.(
Common Stock, $0.001 Par Value 76,096 Indirect See footnote
Common Stock, $0.001 Par Value 9,854 Indirect See footnote
Common Stock, $0.001 Par Value 18 Indirect See footnote
Footnotes
  1. This Form 4 is filed on behalf of Silver Lake Partners V DE (AIV), L.P. ("SLP V"), Silver Lake Technology Investors V, L.P. ("SLTI V"), Silver Lake Technology Associates V, L.P. ("SLTA V"), SLTA V (GP), L.L.C. ("SLTA V GP"), Silver Lake Group, L.L.C. ("SLG") and Mr. Kenneth Y. Hao. SLTA V is the general partner of each of SLP V and SLTI V. SLTA V GP is the general partner of SLTA V. SLG is the managing member of SLTA V GP. Mr. Hao, a Managing Director of SLG, serves as a member of the board of directors of Broadcom Inc. (the "Issuer"). Due to Mr. Hao's role at Silver Lake, it is possible that any or all of SLG, SLTA V GP, SLTA V, SLTI V and SLP V may be deemed to be a director by deputization of the Issuer.
  2. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $244.90 to $245.89, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
  3. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $245.92 to $246.91, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
  4. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $246.92 to $247.91, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
  5. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $247.92 to $248.91, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
  6. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $248.92 to $249.65, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
  7. These securities are directly held by SLP V. SLTA V, as the general partner of SLP V, SLTA V GP, as the general partner of SLTA V, and SLG, as the managing member of SLTA V GP may be deemed to have indirect beneficial ownership of these securities. However, pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that each of the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for SLP V) disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.
  8. These securities are directly held by SLTI V. SLTA V, as the general partner of SLTI V, SLTA V GP, as the general partner of SLTA V, and SLG, as the managing member of SLTA V GP may be deemed to have indirect beneficial ownership of these securities. However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that each of the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for SLTI V) disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.
  9. These securities are directly held by SLP Argo I Ltd. ("Argo I"). Mr. Hao, as a director of Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV"), the sole general partner of Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), the sole general partner of Silver Lake Partners IV Cayman (AIV II), L.P., the sole shareholder of Argo I, may be deemed to be an indirect beneficial owner of the securities directly owned by Argo I.
  10. These securities are directly held by SLP Argo II Ltd. ("Argo II"). Mr. Hao, as a director of AIV GP IV, the sole general partner of SLTA IV Cayman, the sole general partner of Silver Lake Technology Investors IV Cayman, L.P., the sole shareholder of Argo II, may be deemed to be an indirect beneficial owner of the securities directly owned by Argo II.
  11. These securities are held by Mr. Hao for the benefit of certain entities affiliated with SLG ("Silver Lake"). Pursuant to Mr. Hao's arrangement with Silver Lake with respect to director compensation, upon the sale of these securities, the proceeds from such sale(s) are expected to be remitted to Silver Lake and/or its limited partners. Mr. Hao, through his role at Silver Lake and its affiliates, may be deemed to have an indirect interest in these securities.
  12. These securities are held by Hao Family Trust u/a/d 10/12/99.
  13. These securities are held by Mr. Hao's family limited partnership.