Filing Details
- Accession Number:
- 0001441634-15-000067
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-11-03 19:38:01
- Reporting Period:
- 2015-11-02
- Filing Date:
- 2015-11-03
- Accepted Time:
- 2015-11-03 19:38:01
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1441634 | Avago Technologies Ltd | AVGO | Semiconductors & Related Devices (3674) | 980682363 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1211588 | E Hock Tan | C/O Avago Technologies Us Inc. 1320 Ridder Park Drive San Jose CA 95131 | President And Ceo | Yes | 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 | 2015-11-02 | 34,376 | $35.45 | 172,632 | No | 4 | M | Direct | |
| Ordinary Shares | Acquisiton | 2015-11-02 | 71,353 | $32.39 | 243,985 | No | 4 | M | Direct | |
| Ordinary Shares | Disposition | 2015-11-02 | 49,381 | $123.05 | 194,604 | No | 4 | S | Direct | |
| Ordinary Shares | Disposition | 2015-11-02 | 49,148 | $123.83 | 145,456 | No | 4 | S | Direct | |
| Ordinary Shares | Disposition | 2015-11-02 | 7,200 | $124.76 | 138,256 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | Employee Stock Options (right to buy) | Disposition | 2015-11-02 | 34,376 | $0.00 | 34,376 | $35.45 |
| Ordinary Shares | Stock Option (Right to Buy) | Disposition | 2015-11-02 | 71,353 | $0.00 | 71,353 | $32.39 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 140,624 | 2020-03-11 | No | 4 | M | Direct | |
| 200,000 | 2018-03-07 | No | 4 | M | Direct |
Footnotes
- Transactions made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
- Includes 41,666 Restricted Share Units.
- Transaction executed in multiple trades at prices ranging from $122.53 to $123.52 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 executed in multiple trades at prices ranging from $123.53 to $124.52 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 executed in multiple trades at prices ranging from $124.54 to $125.16 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.
- 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, such that the Option will be fully vested on March 12, 2017. The exercisability requirements for the Option have been met.
- The option is fully vested and exercisable.
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