Broadcom Inc. — Director's Dealing 2019

Dec 18, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Broadcom Inc. (AVGO)
CIK: 0001730168
Period of Report: 2019-12-16

Reporting Person: TAN HOCK E (Director, President and CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-12-16	Common Stock, $0.001 par value	F	745	$315.42	Disposed	226107	Direct
2019-12-16	Common Stock, $0.001 par value	M	20000	$38.99	Acquired	246107	Direct
2019-12-16	Common Stock, $0.001 par value	S	3732	$318.498	Disposed	242375	Direct
2019-12-16	Common Stock, $0.001 par value	S	7736	$319.364	Disposed	234639	Direct
2019-12-16	Common Stock, $0.001 par value	S	5532	$320.328	Disposed	229107	Direct
2019-12-16	Common Stock, $0.001 par value	S	2300	$321.34	Disposed	226807	Direct
2019-12-16	Common Stock, $0.001 par value	S	700	$322.818	Disposed	226107	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-12-16	Stock Option (Right to Buy)	$38.99	M	20000	Disposed	2020-09-21	Common Stock, $0.001 par value (20000.0)	Direct

Footnotes

F1: Consists of shares withheld by the Issuer to satisfy the tax withholding obligations of the Reporting Person upon the vesting of the relevant restricted stock units ("RSUs") previously granted to the Reporting Person.

F2: Includes 1,502 RSUs.

F3: Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F4: Transaction executed in multiple trades at prices ranging from $317.95 to $318.93 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

F5: Transaction executed in multiple trades at prices ranging from $318.98 to $319.95 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

F6: Transaction executed in multiple trades at prices ranging from $320.00 to $320.89 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

F7: Transaction executed in multiple trades at prices ranging from $321.11 to $321.74 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

F8: Transaction executed in multiple trades at prices ranging from $322.43 to $323.29 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

F9: Share price performance option granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan. This option is fully vested and the exercisability requirements for this option have been met.