Filing Details

Accession Number:
0001730168-18-000065
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-12-17 17:13:07
Reporting Period:
2018-12-13
Accepted Time:
2018-12-17 17:13:07
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
1670643 H. Thomas Krause C/O Broadcom Inc.
1320 Ridder Park Drive
San Jose CA 95131
Chief Financial Officer No Yes 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 2018-12-13 22,500 $62.02 129,582 No 4 M Direct
Common Stock, $0.001 Par Value Disposition 2018-12-13 10,519 $256.63 119,063 No 4 S Direct
Common Stock, $0.001 Par Value Disposition 2018-12-13 11,981 $257.48 107,082 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock, $0.001 Par Value Stock Option (Right to Buy) Disposition 2018-12-13 22,500 $0.00 22,500 $62.02
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2021-03-10 No 4 M Direct
Footnotes
  1. Includes 78,625 Restricted Stock Units.
  2. Transaction executed in multiple trades at prices ranging from $256.06 to $257.05 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
  3. Transaction executed in multiple trades at prices ranging from $257.07 to $258.04 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
  4. Share price performance option (the "2014 Option") granted on March 11, 2014 pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan. The 2014 Option vests over four years, with 25% vesting on each anniversary of the date of grant, such that the 2014 Option fully vested on March 11, 2018. The exercisability requirements for the 2014 Option have been met.