Filing Details
- Accession Number:
- 0001209191-11-033855
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2011-06-09 17:05:39
- Reporting Period:
- 2011-05-27
- Filing Date:
- 2011-06-09
- Accepted Time:
- 2011-06-09 16:05:39
- Original Submission Date:
- 2011-05-31
- 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 |
|---|---|---|---|---|---|---|---|
| 1272706 | C Boon Ooi | C/O Avago Technologies Limited 350 West Trimble Road San Jose CA 95131 | Svp, Global Operations | 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 | Acquisiton | 2011-05-27 | 1,837 | $8.12 | 3,145 | No | 4 | M | Direct | |
| Ordinary Shares | Acquisiton | 2011-05-27 | 70,000 | $8.12 | 73,145 | No | 4 | M | Direct | |
| Ordinary Shares | Disposition | 2011-05-27 | 71,837 | $34.73 | 1,308 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Ordinary Shares | Employee Stock Option (Right to Buy) | Disposition | 2011-05-27 | 1,837 | $0.00 | 1,837 | $8.12 |
| Ordinary Shares | Employee Stock Option (Right to Buy) | Disposition | 2011-05-27 | 70,000 | $0.00 | 70,000 | $8.12 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 105,000 | 2019-01-14 | No | 4 | M | Direct | |
| 105,000 | 2019-01-14 | No | 4 | M | Direct |
Footnotes
- The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 10, 2011 [Date previously incorrectly stated as December 1, 2010].
- Includes 1308 shares acquired under the Avago Technologies Limited Employee Share Purchase Plan on March 14, 2011.
- These transactions were executed in multiple trades in prices ranging from $34.21 to $35.10. The price reported in Column 4 above reflects the weighted average sale price. 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.
- The option vests with respect to 20% of the shares subject thereto on each anniversay of January 15, 2009, such that the option will be fully vested and exercisable on January 15, 2014.
- The options vests with respect to 20% of the shares subject thereto (each such amount, a "Tranche") on the anniversary of January 15, 2009, provided that certain annual performance milestones are achieved, such that the option could be fully vested and exercisable on Janaury 15, 2014. If annual performance milestones for a particular year are not met, the Tranche to which such performance milestones apply will vest on the date that is two years after the date on which such Tranche would have vested had the relevant annual performance milestones been met. In addition, any Tranche that does not vest in any given year may vest in a subsequent year if performance in such subsequent year exceeds the performance milestones for that year. As at January 15, 2011, 70,000 shares were vested and exercisable.
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