SEC Form 4 · accession 0001649338-16-000039

Broadcom Ltd · AVGO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — SVP & Chief Financial Officer

Period of report

Mar 16, 2016

Accepted (ET)

Mar 18, 2016 · 8:01 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001649338

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Ordinary Shares, no par value	Mar 16, 2016	M	5,000	$35.31	A	73,196	D
Ordinary Shares, no par value^F2,F3,F4	Mar 16, 2016	S	6,975	$147.61	D	66,221	D
Ordinary Shares, no par value^F5	holding	—	—		—	14,237	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F6	$35.31	Mar 16, 2016	M	5,000	D	—	Mar 5, 2019	Ordinary Shares, no par value	5,000	7,500	D

F1Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
F2Includes 1,975 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.
F3Transaction executed in multiple trades at prices ranging from $147.61 to $148.01 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.
F4Includes 57,833 RSUs.
F5The shares are held by The Anthony E. Maslowski Trust dated May 20, 2011 for which the Reporting Person serves as trustee.
F6The option is fully vested and exercisable.