SEC Form 4 · accession 0001649338-17-000090
Broadcom Ltd · AVGO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charlie B Kawwas
Officer — SVP & Chief Sales Officer
Period of report
Apr 4, 2017
Accepted (ET)
Apr 6, 2017 · 6:32 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 4, 2017 | S | 2,299 | $218.693 | D | 70,822 | D | |
| Ordinary Shares, no par valueF2 | Apr 5, 2017 | S | 2,099 | $219.54 | D | 68,723 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares sold by the Reporting Person pursuant to mandatory sale provisions of the relevant restricted share unit ("RSU") grants, including RSU grants previously reported in Table 1, requiring the sale of sufficient shares to cover withholding taxes due upon vesting of RSUs.
- F2Includes 61,359 RSUs.
- F3Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.