Broadcom Inc. — Director's Dealing 2020

Sep 3, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Broadcom Inc. (AVGO)
CIK: 0001730168
Period of Report: 2020-09-01

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-09-01	Common Stock, $0.001 par value	M	57172	$38.99	Acquired	304274	Direct
2020-09-01	Common Stock, $0.001 par value	S	900	$348.27	Disposed	303374	Direct
2020-09-01	Common Stock, $0.001 par value	S	1616	$349.176	Disposed	301758	Direct
2020-09-01	Common Stock, $0.001 par value	S	1920	$350.137	Disposed	299838	Direct
2020-09-01	Common Stock, $0.001 par value	S	1600	$351.362	Disposed	298238	Direct
2020-09-01	Common Stock, $0.001 par value	S	907	$352.391	Disposed	297331	Direct
2020-09-01	Common Stock, $0.001 par value	S	631	$353.253	Disposed	296700	Direct
2020-09-01	Common Stock, $0.001 par value	S	2900	$354.897	Disposed	293800	Direct
2020-09-01	Common Stock, $0.001 par value	S	3100	$355.916	Disposed	290700	Direct
2020-09-01	Common Stock, $0.001 par value	S	2038	$356.604	Disposed	288662	Direct
2020-09-01	Common Stock, $0.001 par value	S	6118	$358.102	Disposed	282544	Direct
2020-09-01	Common Stock, $0.001 par value	S	12249	$358.929	Disposed	270295	Direct
2020-09-01	Common Stock, $0.001 par value	S	10875	$360.195	Disposed	259420	Direct
2020-09-01	Common Stock, $0.001 par value	S	10613	$360.933	Disposed	248807	Direct
2020-09-01	Common Stock, $0.001 par value	S	1705	$361.797	Disposed	247102	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-09-01	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 $347.86 to $348.84 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 $348.86 to $349.41 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 $349.91 to $350.68 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 $350.99 to $351.96 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 $351.99 to $352.97 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 $352.99 to $353.61 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 $354.21 to $355.14 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 $355.30 to $356.28 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 $356.35 to $357.25 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 $357.52 to $358.51 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 $358.52 to $359.51 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 $359.58 to $360.57 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: Transaction executed in multiple trades at prices ranging from $360.58 to $361.56 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.

F16: Transaction executed in multiple trades at prices ranging from $361.60 to $362.03 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.

F17: 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.