SEC Form 4 · accession 0001649338-17-000015
Broadcom Ltd · AVGO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas H. Krause
Officer — VP & Chief Financial Officer
Period of report
Mar 3, 2017
Accepted (ET)
Mar 7, 2017 · 7:53 pm EST
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,F3 | Mar 3, 2017 | A | 12,500 | $0.00 | A | 63,192 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Award approved on March 3, 2017 with an effective grant date of March 15, 2017.
- F2Grant 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 one (1) Ordinary Share for each one (1) RSU. The RSUs vest as to 25% of the shares subject thereto on each annual anniversary of March 15, 2017.
- F3Includes 62,000 RSUs.