SEC Form 4 · accession 0001649338-17-000076
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
Mar 28, 2017
Accepted (ET)
Mar 29, 2017 · 7:51 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 | Mar 28, 2017 | M | 10,000 | $10.00 | A | 55,605 | D | |
| Ordinary Shares, no par valueF2,F1 | Mar 28, 2017 | S | 10,000 | $221.503 | D | 45,605 | 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)F3 | $10.00 | Mar 28, 2017 | M | 10,000 | D | — | Mar 2, 2019 | Ordinary Shares, no par value | 10,000 | 35,000 | D |
Explanation of responses
- F1Includes 19,250 Restricted Share Units.
- F2Transaction executed in multiple trades at prices ranging from $221.50 to $221.55 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.
- F3The option is fully vested and exercisable.