SEC Form 4 · accession 0001730168-18-000045
Broadcom Inc. · AVGO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hock E Tan
Officer — President and CEO · Director
Period of report
Oct 15, 2018
Accepted (ET)
Oct 17, 2018 · 5:18 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001730168
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 par valueF2 | Oct 15, 2018 | M | 20,000 | $38.99 | A | 129,834 | D | |
| Common Stock, $0.001 par valueF2 | Oct 15, 2018 | S | 20,000 | $231.03 | D | 109,834 | 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 | $38.99 | Oct 15, 2018 | M | 20,000 | D | — | Sep 21, 2020 | Common Stock, $0.001 par value | 20,000 | 1,337,916 | D |
Explanation of responses
- F1Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
- F2Includes 4,507 Restricted Stock Units.
- F3Share price performance option (the "2013 Option") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan. The 2013 Option is fully vested and the exercisability requirements for the 2013 Option have been met.