SEC Form 4 · accession 0001649338-16-000106
Broadcom Ltd · AVGO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patricia H McCall
Officer — VP & General Counsel
Period of report
Sep 12, 2016
Accepted (ET)
Sep 14, 2016 · 5:53 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 | Sep 12, 2016 | M | 2,500 | $10.22 | A | 44,384 | D | |
| Ordinary Shares, no par valueF1 | Sep 12, 2016 | S | 2,500 | $164.50 | D | 41,884 | D |
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)F2 | $10.22 | Sep 12, 2016 | M | 2,500 | D | — | Feb 21, 2018 | Ordinary Shares, no par value | 2,500 | 2,500 | D |
Explanation of responses
- F1Includes 22,000 Restricted Share Units.
- F2The option is fully vested and exercisable.