Filing Details
- Accession Number:
- 0001441634-16-000093
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-01-05 19:09:46
- Reporting Period:
- 2016-01-04
- Filing Date:
- 2016-01-05
- Accepted Time:
- 2016-01-05 19:09:46
- 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 | 2016-01-04 | 105,729 | $38.99 | 240,708 | No | 4 | M | Direct | |
| Ordinary Shares | Disposition | 2016-01-04 | 19,900 | $140.56 | 220,808 | No | 4 | S | Direct | |
| Ordinary Shares | Disposition | 2016-01-04 | 84,568 | $141.40 | 136,240 | No | 4 | S | Direct | |
| Ordinary Shares | Disposition | 2016-01-04 | 1,261 | $142.03 | 134,979 | 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 | |
| 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 | 2016-01-04 | 105,729 | $0.00 | 105,729 | $38.99 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,547,916 | 2020-09-12 | No | 4 | M | Direct |
Footnotes
- Transactions made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
- Includes 35,416 Restricted Share Units.
- Transaction executed in multiple trades at prices ranging from $139.92 to $140.91 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 $140.92 to $141.90 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 $141.94 to $142.18 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 September 13, 2017. The exercisability requirements for the Option have been met.
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