Broadcom Inc. — Director's Dealing 2020

Jul 16, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Broadcom Inc. (AVGO)
CIK: 0001730168
Period of Report: 2020-07-14

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-07-14	Common Stock, $0.001 par value	M	57171	$38.99	Acquired	304273	Direct
2020-07-14	Common Stock, $0.001 par value	S	2354	$306.265	Disposed	301919	Direct
2020-07-14	Common Stock, $0.001 par value	S	3440	$307.064	Disposed	298479	Direct
2020-07-14	Common Stock, $0.001 par value	S	2500	$308.212	Disposed	295979	Direct
2020-07-14	Common Stock, $0.001 par value	S	6801	$308.97	Disposed	289178	Direct
2020-07-14	Common Stock, $0.001 par value	S	6415	$310.121	Disposed	282763	Direct
2020-07-14	Common Stock, $0.001 par value	S	4977	$311.289	Disposed	277786	Direct
2020-07-14	Common Stock, $0.001 par value	S	9878	$312.288	Disposed	267908	Direct
2020-07-14	Common Stock, $0.001 par value	S	8764	$313.255	Disposed	259144	Direct
2020-07-14	Common Stock, $0.001 par value	S	6926	$314.224	Disposed	252218	Direct
2020-07-14	Common Stock, $0.001 par value	S	4916	$315.478	Disposed	247302	Direct
2020-07-14	Common Stock, $0.001 par value	S	200	$316.195	Disposed	247102	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-07-14	Stock Option (Right to Buy)	$38.99	M	57171	Disposed	2020-09-21	Common Stock, $0.001 par value (57171.0)	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 $305.55 to $306.54 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 $306.57 to $307.48 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.

F5: Transaction executed in multiple trades at prices ranging from $307.59 to $308.58 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 $308.59 to $309.51 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.

F7: Transaction executed in multiple trades at prices ranging from $309.65 to $310.64 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 $310.76 to $311.75 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 $311.76 to $312.75 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.

F10: Transaction executed in multiple trades at prices ranging from $312.76 to $313.74 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.

F11: Transaction executed in multiple trades at prices ranging from $313.76 to $314.71 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 $315.12 to $316.10 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 $316.19 to $316.20 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: 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.