Broadcom Inc. — Director's Dealing 2020

Sep 10, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Broadcom Inc. (AVGO)
CIK: 0001730168
Period of Report: 2020-09-08

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-09-08	Common Stock, $0.001 par value	M	57172	$38.99	Acquired	304274	Direct
2020-09-08	Common Stock, $0.001 par value	S	3082	$350.849	Disposed	301192	Direct
2020-09-08	Common Stock, $0.001 par value	S	3070	$351.83	Disposed	298122	Direct
2020-09-08	Common Stock, $0.001 par value	S	2617	$352.783	Disposed	295505	Direct
2020-09-08	Common Stock, $0.001 par value	S	5909	$353.942	Disposed	289596	Direct
2020-09-08	Common Stock, $0.001 par value	S	6177	$354.787	Disposed	283419	Direct
2020-09-08	Common Stock, $0.001 par value	S	8285	$355.917	Disposed	275134	Direct
2020-09-08	Common Stock, $0.001 par value	S	6820	$357.165	Disposed	268314	Direct
2020-09-08	Common Stock, $0.001 par value	S	9893	$357.887	Disposed	258421	Direct
2020-09-08	Common Stock, $0.001 par value	S	7119	$358.959	Disposed	251302	Direct
2020-09-08	Common Stock, $0.001 par value	S	900	$359.954	Disposed	250402	Direct
2020-09-08	Common Stock, $0.001 par value	S	2100	$361.008	Disposed	248302	Direct
2020-09-08	Common Stock, $0.001 par value	S	1200	$361.961	Disposed	247102	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-09-08	Stock Option (Right to Buy)	$38.99	M	57172	Disposed	2020-09-21	Common Stock, $0.001 par value (57172.0)	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 $350.38 to $351.36 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 $351.38 to $352.32 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 $352.38 to $353.31 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 $353.39 to $354.36 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 $354.39 to $355.29 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.

F8: Transaction executed in multiple trades at prices ranging from $355.43 to $356.36 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 $356.48 to $357.46 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 $357.49 to $358.48 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: Transaction executed in multiple trades at prices ranging from $358.50 to $359.49 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.

F12: Transaction executed in multiple trades at prices ranging from $359.50 to $360.24 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.

F13: Transaction executed in multiple trades at prices ranging from $360.57 to $361.47 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.

F14: Transaction executed in multiple trades at prices ranging from $361.66 to $362.32 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.

F15: 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.