Broadcom Inc. — Director's Dealing 2020

Oct 15, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Broadcom Inc. (AVGO)
CIK: 0001730168
Period of Report: 2020-10-13

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-10-13	Common Stock, $0.001 par value	M	78125	$52.65	Acquired	310727	Direct
2020-10-13	Common Stock, $0.001 par value	S	2429	$379.294	Disposed	308298	Direct
2020-10-13	Common Stock, $0.001 par value	S	11032	$380.493	Disposed	297266	Direct
2020-10-13	Common Stock, $0.001 par value	S	14227	$381.423	Disposed	283039	Direct
2020-10-13	Common Stock, $0.001 par value	S	20304	$382.457	Disposed	262735	Direct
2020-10-13	Common Stock, $0.001 par value	S	22458	$383.258	Disposed	240277	Direct
2020-10-13	Common Stock, $0.001 par value	S	5534	$384.283	Disposed	234743	Direct
2020-10-13	Common Stock, $0.001 par value	S	500	$385.27	Disposed	234243	Direct
2020-10-13	Common Stock, $0.001 par value	S	1641	$386.767	Disposed	232602	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-10-13	Stock Option (Right to Buy)	$52.65	M	78125	Disposed	2021-01-01	Common Stock, $0.001 par value (78125.0)	Direct

Footnotes

F1: Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2: Includes 1,502 restricted stock units.

F3: Transaction executed in multiple trades at prices ranging from $378.85 to $379.84 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.

F4: Transaction executed in multiple trades at prices ranging from $379.90 to $380.89 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.

F5: Transaction executed in multiple trades at prices ranging from $380.90 to $381.89 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.

F6: Transaction executed in multiple trades at prices ranging from $381.91 to $382.90 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 $382.91 to $383.90 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 $383.91 to $384.75 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: Transaction executed in multiple trades at prices ranging from $385.25 to $385.40 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.

F10: Transaction executed in multiple trades at prices ranging from $386.53 to $387.13 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.

F11: 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.