SEC Form 4 · accession 0001140361-15-012867
Avago Technologies LTD · AVGO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John T Dickson
Director
Period of report
Mar 18, 2015
Accepted (ET)
Mar 20, 2015 · 6:42 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001441634
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary Shares | Mar 18, 2015 | M | 19,116 | $33.94 | A | 23,364 | D | |
| Ordinary SharesF1 | Mar 18, 2015 | S | 19,116 | $128.24 | D | 4,248 | D | |
| Ordinary SharesF2 | holding | — | — | — | 4,124 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F3 | $33.94 | Mar 18, 2015 | M | 19,116 | D | — | Jan 17, 2017 | Ordinary Shares | 19,116 | 0 | D |
Explanation of responses
- F1Transaction executed in multiple trades at prices ranging from $128.00 to $128.50 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.
- F2Shares held by The Dickson Family Trust U/A Dated 10/24/2006, for which the Reporting Person serves as a Trustee.
- F3The option is fully vested and exercisable.