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Broadcom Inc. — Director's Dealing 2021
Mar 17, 2021
29739_dirs_2021-03-17_695aac9d-4848-45a6-b11e-48740cc25b30.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: 2021-03-15
Reporting Person: SAMUELI HENRY (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-03-15 | Common Stock, $0.001 par value | A | 3625 | — | Acquired | 266707 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, $0.001 par value | 4444484 | Indirect |
| Common Stock, $0.001 par value | 1227203 | Indirect |
| Common Stock, $0.001 par value | 2893512 | Indirect |
| Common Stock, $0.001 par value | 459690 | Indirect |
Footnotes
F1: On March 15, 2021, the Compensation Committee of the Issuer determined the achievement of certain performance criteria, based on the Issuer's compound annual total stockholder return relative to the S&P 500 Index, and the number of restricted stock units ("RSUs") that vests with respect to the fourth and final performance period pursuant to the terms of a performance stock unit award granted on March 15, 2017 under the Broadcom Corporation 2012 Stock Incentive Plan. The RSUs are subject to time-based vesting conditions and fully vested on March 15, 2021, subject to the Reporting Person's continued service through such date. The Reporting Person is entitled to one (1) share of common stock of the Issuer for each one (1) RSU.
F2: Includes 500 RSUs.
F3: Directly held by D95GT LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
F4: Directly held by E95GT LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
F5: Directly held by H&S Investments I L.P. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
F6: Directly held by H&S Portfolio II L.P. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.