SEC Form 4 · accession 0001649338-17-000137
Broadcom Ltd · AVGO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kirsten M. Spears
Officer — Principal Accounting Officer
Period of report
Dec 4, 2017
Accepted (ET)
Dec 6, 2017 · 8:21 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 | Dec 4, 2017 | A | 3,000 | $0.00 | A | 27,317 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Award approved on December 4, 2017 with an effective grant date of December 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 December 15, 2017.
- F3Includes 26,024 RSUs and 43 shares acquired under the Issuer's Employee Stock Purchase Plan on September 14, 2017.