Filing Details
- Accession Number:
- 0001730168-20-000065
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-03-18 20:44:09
- Reporting Period:
- 2020-03-16
- Accepted Time:
- 2020-03-18 20:44:09
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1730168 | Broadcom Inc. | AVGO | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1211588 | E Hock Tan | C/O Broadcom 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 Par Value | Acquisiton | 2020-03-16 | 73,646 | $38.99 | 243,688 | No | 4 | M | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 1,400 | $181.64 | 242,288 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 100 | $183.63 | 242,188 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 400 | $185.07 | 241,788 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 1,062 | $187.25 | 240,726 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 1,200 | $188.05 | 239,526 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 4,051 | $189.34 | 235,475 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 5,656 | $190.28 | 229,819 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 6,823 | $191.25 | 222,996 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 2,047 | $192.26 | 220,949 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 2,700 | $193.39 | 218,249 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 2,965 | $194.51 | 215,284 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 1,975 | $195.85 | 213,309 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 7,057 | $196.45 | 206,252 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 2,000 | $197.79 | 204,252 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 1,300 | $198.90 | 202,952 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 1,323 | $199.88 | 201,629 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 2,100 | $200.98 | 199,529 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 2,246 | $202.14 | 197,283 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 3,097 | $203.33 | 194,186 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 5,047 | $204.12 | 189,139 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 5,104 | $205.19 | 184,035 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 5,564 | $206.10 | 178,471 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 3,827 | $207.16 | 174,644 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 2,102 | $208.16 | 172,542 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 1,100 | $209.27 | 171,442 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 200 | $209.95 | 171,242 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 100 | $211.92 | 171,142 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 400 | $213.42 | 170,742 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2020-03-16 | 700 | $217.98 | 170,042 | 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 | |
| No | 4 | S | Direct | |
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| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 Par Value | Stock Option (Right to Buy) | Disposition | 2020-03-16 | 73,646 | $0.00 | 73,646 | $38.99 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 743,228 | 2020-09-21 | No | 4 | M | Direct |
Footnotes
- Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
- Includes 1,502 Restricted Stock Units.
- Transaction executed in multiple trades at prices ranging from $181.50 to $181.70 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 $184.78 to $185.56 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 $186.76 to $187.70 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 $187.76 to $188.31 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 $188.76 to $189.73 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 $189.81 to $190.80 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 $190.92 to $191.88 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 $191.94 to $192.68 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 $193.06 to $193.72 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 $194.15 to $195.14 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 $195.15 to $196.14 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 $196.15 to $197.04 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 $197.27 to $198.14 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 $198.36 to $199.25 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 $199.37 to $200.27 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 $200.49 to $201.39 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 $201.64 to $202.54 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 $202.70 to $203.68 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 $203.70 to $204.69 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 $204.70 to $205.65 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.
- Transaction executed in multiple trades at prices ranging from $205.70 to $206.67 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 $206.74 to $207.73 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 $207.75 to $208.73 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 $208.76 to $209.58 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 $209.94 to $209.95 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 $213.31 to $213.74 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 $217.73 to $218.31 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 granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan. This option is fully vested and the exercisability requirements for this option have been met.
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