SEC Form 4 · accession 0001649338-16-000061
Broadcom Ltd · AVGO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Diller
Director
Period of report
Apr 6, 2016
Accepted (ET)
Apr 7, 2016 · 7:27 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 valueF1,F2 | Apr 6, 2016 | A | 1,325 | $0.00 | A | 7,914 | D | |
| Ordinary Shares, no par valueF3 | holding | — | — | — | 29,745 | I | See Footnote | |
| Ordinary Shares, no par valueF4 | holding | — | — | — | 90,255 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Grant of Restricted Share Units ("RSUs") pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan (the "Avago Plan"). Upon vesting thereof, the Reporting Person is entitled to receive one (1) Ordinary Share for each one (1) RSU. The RSUs vest in full on April 6, 2017, subject to the Reporting Person's continuing service on the vesting date.
- F2Includes 2,888 RSUs.
- F3Shares held by the June P. Diller Annuity Trust-2010B dated May 10, 2010, for which the Reporting Person serves as Trustee.
- F4Shares held by the James V. Diller and June P. Diller Trust UA 7/20/77, for which the Reporting Person serves as Trustee.