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Broadcom Inc. — Director's Dealing 2020
Mar 19, 2020
29739_dirs_2020-03-18_a33e1afa-453d-4248-8b47-461469425a0e.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Broadcom Inc. (AVGO)
CIK: 0001730168
Period of Report: 2020-03-16
Reporting Person: TAN HOCK E (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-03-16 | Common Stock, $0.001 par value | M | 73646 | $38.99 | Acquired | 243688 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 1400 | $181.638 | Disposed | 242288 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 100 | $183.63 | Disposed | 242188 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 400 | $185.068 | Disposed | 241788 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 1062 | $187.245 | Disposed | 240726 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 1200 | $188.051 | Disposed | 239526 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 4051 | $189.343 | Disposed | 235475 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 5656 | $190.283 | Disposed | 229819 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 6823 | $191.251 | Disposed | 222996 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 2047 | $192.255 | Disposed | 220949 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 2700 | $193.387 | Disposed | 218249 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 2965 | $194.506 | Disposed | 215284 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 1975 | $195.849 | Disposed | 213309 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 7057 | $196.454 | Disposed | 206252 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 2000 | $197.788 | Disposed | 204252 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 1300 | $198.896 | Disposed | 202952 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 1323 | $199.879 | Disposed | 201629 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 2100 | $200.977 | Disposed | 199529 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 2246 | $202.14 | Disposed | 197283 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 3097 | $203.329 | Disposed | 194186 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 5047 | $204.122 | Disposed | 189139 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 5104 | $205.192 | Disposed | 184035 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 5564 | $206.097 | Disposed | 178471 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 3827 | $207.155 | Disposed | 174644 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 2102 | $208.157 | Disposed | 172542 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 1100 | $209.269 | Disposed | 171442 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 200 | $209.945 | Disposed | 171242 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 100 | $211.915 | Disposed | 171142 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 400 | $213.418 | Disposed | 170742 | Direct |
| 2020-03-16 | Common Stock, $0.001 par value | S | 700 | $217.981 | Disposed | 170042 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-03-16 | Stock Option (Right to Buy) | $38.99 | M | 73646 | Disposed | 2020-09-21 | Common Stock, $0.001 par value (73646.0) | 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 $181.50 to $181.70 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 $184.78 to $185.56 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.
F5: Transaction executed in multiple trades at prices ranging from $186.76 to $187.70 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 $187.76 to $188.31 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.
F7: Transaction executed in multiple trades at prices ranging from $188.76 to $189.73 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 $189.81 to $190.80 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 $190.92 to $191.88 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 $191.94 to $192.68 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.
F11: Transaction executed in multiple trades at prices ranging from $193.06 to $193.72 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 $194.15 to $195.14 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.
F13: Transaction executed in multiple trades at prices ranging from $195.15 to $196.14 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.
F14: Transaction executed in multiple trades at prices ranging from $196.15 to $197.04 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 $197.27 to $198.14 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.
F16: Transaction executed in multiple trades at prices ranging from $198.36 to $199.25 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.
F17: Transaction executed in multiple trades at prices ranging from $199.37 to $200.27 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.
F18: Transaction executed in multiple trades at prices ranging from $200.49 to $201.39 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.
F19: Transaction executed in multiple trades at prices ranging from $201.64 to $202.54 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.
F20: Transaction executed in multiple trades at prices ranging from $202.70 to $203.68 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.
F21: Transaction executed in multiple trades at prices ranging from $203.70 to $204.69 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.
F22: Transaction executed in multiple trades at prices ranging from $204.70 to $205.65 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.
F23: Transaction executed in multiple trades at prices ranging from $205.70 to $206.67 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.
F24: Transaction executed in multiple trades at prices ranging from $206.74 to $207.73 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.
F25: Transaction executed in multiple trades at prices ranging from $207.75 to $208.73 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.
F26: Transaction executed in multiple trades at prices ranging from $208.76 to $209.58 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.
F27: Transaction executed in multiple trades at prices ranging from $209.94 to $209.95 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.
F28: Transaction executed in multiple trades at prices ranging from $213.31 to $213.74 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.
F29: Transaction executed in multiple trades at prices ranging from $217.73 to $218.31 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.
F30: 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.