Broadcom Inc. — Director's Dealing 2020

Mar 11, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Broadcom Inc. (AVGO)
CIK: 0001730168
Period of Report: 2020-03-09

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-03-09	Common Stock, $0.001 par value	M	75000	$38.99	Acquired	245042	Direct
2020-03-09	Common Stock, $0.001 par value	S	1150	$245.014	Disposed	243892	Direct
2020-03-09	Common Stock, $0.001 par value	S	2578	$246.006	Disposed	241314	Direct
2020-03-09	Common Stock, $0.001 par value	S	4265	$247.381	Disposed	237049	Direct
2020-03-09	Common Stock, $0.001 par value	S	7287	$248.126	Disposed	229762	Direct
2020-03-09	Common Stock, $0.001 par value	S	5924	$249.178	Disposed	223838	Direct
2020-03-09	Common Stock, $0.001 par value	S	6837	$250.309	Disposed	217001	Direct
2020-03-09	Common Stock, $0.001 par value	S	6429	$251.351	Disposed	210572	Direct
2020-03-09	Common Stock, $0.001 par value	S	3141	$252.211	Disposed	207431	Direct
2020-03-09	Common Stock, $0.001 par value	S	4720	$253.423	Disposed	202711	Direct
2020-03-09	Common Stock, $0.001 par value	S	4580	$254.28	Disposed	198131	Direct
2020-03-09	Common Stock, $0.001 par value	S	4704	$255.456	Disposed	193427	Direct
2020-03-09	Common Stock, $0.001 par value	S	6900	$256.512	Disposed	186527	Direct
2020-03-09	Common Stock, $0.001 par value	S	9381	$257.456	Disposed	177146	Direct
2020-03-09	Common Stock, $0.001 par value	S	3796	$258.459	Disposed	173350	Direct
2020-03-09	Common Stock, $0.001 par value	S	3208	$259.437	Disposed	170142	Direct
2020-03-09	Common Stock, $0.001 par value	S	100	$260	Disposed	170042	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-03-09	Stock Option (Right to Buy)	$38.99	M	75000	Disposed	2020-09-21	Common Stock, $0.001 par value (75000.0)	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 $244.66 to $245.60 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 $245.70 to $246.69 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.

F5: Transaction executed in multiple trades at prices ranging from $246.70 to $247.69 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.

F6: Transaction executed in multiple trades at prices ranging from $247.71 to $248.70 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.

F7: Transaction executed in multiple trades at prices ranging from $248.74 to $249.71per 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 $249.78 to $250.75 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 $250.83 to $251.79 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 $251.83 to $252.82 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 $252.90 to $253.87 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 $253.90 to $254.86 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 $254.92 to $255.89 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.

F14: Transaction executed in multiple trades at prices ranging from $255.94 to $256.93 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 $256.94 to $257.91 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 $257.95 to $258.94 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 $258.98 to $259.96 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.

F18: 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.