Filing Details
- Accession Number:
- 0001140361-13-035967
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-09-13 18:59:47
- Reporting Period:
- 2013-09-11
- Filing Date:
- 2013-09-13
- Accepted Time:
- 2013-09-13 18:59:47
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1441634 | Avago Technologies Ltd | AVGO | Semiconductors & Related Devices (3674) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1570993 | E. Anthony Maslowski | C/O Avago Technologies U.s. Inc. 350 West Trimble Road 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Ordinary Shares | Acquisiton | 2013-09-11 | 5,000 | $20.08 | 74,501 | No | 4 | M | Direct | |
| Ordinary Shares | Disposition | 2013-09-11 | 5,000 | $38.93 | 69,501 | No | 4 | S | Direct | |
| Ordinary Shares | Disposition | 2013-09-12 | 1,264 | $38.97 | 68,237 | 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 |
|---|---|---|---|---|---|---|---|
| Ordinary Shares | Stock Options (right to buy) | Acquisiton | 2013-09-11 | 90,000 | $0.00 | 90,000 | $39.25 |
| Ordinary Shares | Stock Options (right to buy) | Disposition | 2013-09-11 | 5,000 | $0.00 | 5,000 | $20.08 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 90,000 | 2020-09-10 | No | 4 | A | Direct | |
| 15,000 | 2020-09-07 | No | 4 | M | Direct |
Footnotes
- Includes 61,668 restricted share units ("RSUs")
- Transaction executed in multiple trades at prices ranging from $38.78 to $39.17 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.
- Transaction effected pursuant to an irrevocable election by the Reporting Person, dated June 18, 2013, to sell sufficient shares to cover the amount of withholding taxes due upon vesting of RSUs.
- Transaction executed in two trades of 100 shares at $38.97 per share and 1,164 shares at $38.973 per share. The price reported in column 4 above reflects the weighted average sale price per share.
- Share price performance option (the "Option") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan. The Option vests over four years, with 25% vesting on each anniversary of the date of grant. The Option will not be exercisable until the date on which the average of the closing prices of the Company's ordinary shares (as reported on the stock exchange on which the shares are listed), over a ten consecutive trading day period is equal to or greater than 120% of the exercise price of Option.
- The remaining portion of the option vests in full on September 8, 2014.
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