SEC Form 4 · accession 0001730168-18-000067
Broadcom Inc. · AVGO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lewis C Eggebrecht
Director
Period of report
Dec 14, 2018
Accepted (ET)
Dec 18, 2018 · 5:15 pm EST
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 valueF1 | Dec 14, 2018 | M | 5,121 | $62.47 | A | 11,954 | D | |
| Common Stock, $0.001 par valueF1 | Dec 14, 2018 | S | 2,000 | $260.81 | D | 9,954 | D | |
| Common Stock, $0.001 par valueF2 | holding | — | — | — | 1,500 | 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 | $62.47 | Dec 14, 2018 | M | 5,121 | D | — | Apr 8, 2019 | Common Stock, $0.001 par value | 5,121 | 0 | D |
Explanation of responses
- F1Includes 807 Restricted Stock Units.
- F2Shares held by Lewis and Rebecca Eggebrecht Living Trust dated 6/21/1997 for which the Reporting Person serves as Trustee.
- F3The option vested over 3 years, with 33.333% vesting on each anniversary of the grant date of April 9, 2014, such that the option fully vested on April 9, 2017.