Filing Details
- Accession Number:
- 0001649338-17-000040
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-03-14 18:32:34
- Reporting Period:
- 2017-03-13
- Filing Date:
- 2017-03-14
- Accepted Time:
- 2017-03-14 18:32:34
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1649338 | Broadcom Ltd | AVGO | Semiconductors & Related Devices (3674) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1670643 | H. Thomas Krause | C/O Avago Technologies Us Inc. 1320 Ridder Park Drive San Jose CA 95131 | Vp & 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, No Par Value | Acquisiton | 2017-03-13 | 6,000 | $35.45 | 64,903 | No | 4 | M | Direct | |
| Ordinary Shares, No Par Value | Acquisiton | 2017-03-13 | 22,500 | $62.02 | 87,403 | No | 4 | M | Direct | |
| Ordinary Shares, No Par Value | Disposition | 2017-03-13 | 18,800 | $225.89 | 68,603 | No | 4 | S | Direct | |
| Ordinary Shares, No Par Value | Disposition | 2017-03-13 | 9,700 | $226.81 | 58,903 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Ordinary Shares, No Par Value | Stock Option (Right to Buy) | Disposition | 2017-03-13 | 6,000 | $0.00 | 6,000 | $35.45 |
| Ordinary Shares, No Par Value | Stock Option (Right to Buy) | Disposition | 2017-03-13 | 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 | 2020-03-11 | No | 4 | M | Direct | |
| 22,500 | 2021-03-10 | No | 4 | M | Direct |
Footnotes
- Includes 52,500 Restricted Share Units.
- Transaction executed in multiple trades at prices ranging from $225.41 to $226.40 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 $226.45 to $226.93 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 "2013 Option") granted pursuant to the Avago Plan. The 2013 Option vests over four years, with 25% vesting on each anniversary of the date of grant, such that the 2013 Option will be fully vested on March 12, 2017. The exercisability requirements for the 2013 Option have been met.
- Share price performance option (the "2014 Option") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan (the "Avago Plan"). The 2014 Option vests over four years, with 25% vesting on each anniversary of the date of grant, such that the 2014 Option will be fully vested on March 11, 2018. The exercisability requirements for the 2014 Option have been met.
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