Filing Details
- Accession Number:
- 0001649338-17-000147
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-12-19 19:41:57
- Reporting Period:
- 2017-12-15
- Accepted Time:
- 2017-12-19 19:41:57
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1649338 | Broadcom Ltd | AVGO | () | 4 |
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, No Par Value | Acquisiton | 2017-12-15 | 10,000 | $32.39 | 120,623 | No | 4 | M | Direct | |
| Ordinary Shares, No Par Value | Acquisiton | 2017-12-15 | 10,000 | $38.99 | 130,623 | No | 4 | M | Direct | |
| Ordinary Shares, No Par Value | Disposition | 2017-12-15 | 5,920 | $259.09 | 124,703 | No | 4 | S | Direct | |
| Ordinary Shares, No Par Value | Disposition | 2017-12-15 | 13,280 | $259.86 | 111,423 | No | 4 | S | Direct | |
| Ordinary Shares, No Par Value | Disposition | 2017-12-15 | 800 | $261.02 | 110,623 | No | 4 | S | Direct | |
| Ordinary Shares, No Par Value | Disposition | 2017-12-18 | 789 | $264.38 | 109,834 | 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 | |
| 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 | 2017-12-15 | 10,000 | $0.00 | 10,000 | $32.39 |
| Ordinary Shares, No Par Value | Stock Option (Right to Buy) | Disposition | 2017-12-15 | 10,000 | $0.00 | 10,000 | $38.99 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2018-03-07 | No | 4 | M | Direct | |
| 1,537,916 | 2020-09-12 | No | 4 | M | Direct |
Footnotes
- Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
- Includes 4,507 Restricted Share Units.
- Transaction executed in multiple trades at prices ranging from $258.46 to $259.43 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 $259.46 to $260.42 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 $260.52 to $261.65 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.
- Shares sold by the Reporting Person pursuant to mandatory sale provisions of the relevant restricted share unit ("RSU") grant requiring the sale of sufficient shares to cover withholding taxes due upon vesting of RSUs.
- The option is fully vested and exercisable.
- Share price performance option (the "2006 Option") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan (the "Avago Plan"). The 2006 Option is fully vested and the exercisability requirements for the 2006 Option have been met.
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