Filing Details
- Accession Number:
- 0001209191-11-009962
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-02-15 21:56:38
- Reporting Period:
- 2011-02-14
- Filing Date:
- 2011-02-15
- Accepted Time:
- 2011-02-15 21:56:38
- 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 |
|---|---|---|---|---|---|---|---|
| 1211588 | E Hock Tan | C/O Avago Technologies Limited 350 West Trimble Road 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 | 2011-02-14 | 804,100 | $5.00 | 904,100 | No | 4 | M | Direct | |
| Ordinary Shares | Acquisiton | 2011-02-14 | 60,000 | $10.00 | 964,100 | No | 4 | M | Direct | |
| Ordinary Shares | Disposition | 2011-02-14 | 850,118 | $34.02 | 113,982 | No | 4 | S | Direct | |
| Ordinary Shares | Disposition | 2011-02-14 | 113,982 | $34.00 | 0 | 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 | Stock Options (right to buy) | Disposition | 2011-02-14 | 37,178 | $0.00 | 37,178 | $5.00 |
| Ordinary Shares | Stock Options (right to buy) | Disposition | 2011-02-14 | 766,922 | $0.00 | 766,922 | $5.00 |
| Ordinary Shares | Stock Options (right to buy) | Disposition | 2011-02-14 | 60,000 | $0.00 | 60,000 | $10.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-04-12 | No | 4 | M | Direct | |
| 570,002 | 2016-04-12 | No | 4 | M | Direct | |
| 240,000 | 2019-03-02 | No | 4 | M | Direct |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 22, 2010.
- These transactions were executed in multiple trades in prices ranging from $34.00 to $34.31. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission 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.
- Option is fully vested and exercisable.
- After completion of the transaction reported on this Form 4, 2 shares subject to this option will be fully vested and exercisable, while the remaining 570,000 shares subject thereto will vest in two (2) successive and equal installments on December 1, 2011 and December 1, 2012.
- The 240,000 shares that remain subject to this option will vest in four (4) successive and equal installments on March 3, 2011, March 3, 2012, March 3, 2013 and March 3, 2014.
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