SEC Form 4 · accession 0001649338-17-000145
Broadcom Ltd · AVGO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Diller
Director
Period of report
Dec 14, 2017
Accepted (ET)
Dec 15, 2017 · 6:48 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 | Dec 14, 2017 | M | 9,854 | $35.38 | A | 18,674 | D | |
| Ordinary Shares, no par valueF1 | Dec 14, 2017 | M | 5,223 | $62.47 | A | 23,897 | D | |
| Ordinary Shares, no par valueF2 | holding | — | — | — | 119,500 | I | See Footnote |
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 | $35.38 | Dec 14, 2017 | M | 9,854 | D | — | Apr 9, 2018 | Ordinary Shares, no par value | 9,854 | 0 | D |
| Stock Option (Right to Buy)F3 | $62.47 | Dec 14, 2017 | M | 5,223 | D | — | Apr 8, 2019 | Ordinary Shares, no par value | 5,223 | 0 | D |
Explanation of responses
- F1Includes 906 Restricted Share Units.
- F2Shares held by the James V. Diller and June P. Diller Trust UA 7/20/77, for which the Reporting Person serves as Trustee.
- F3The option is fully vested and exercisable.