Broadcom Inc. — Director's Dealing 2021

Mar 17, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Broadcom Inc. (AVGO)
CIK: 0001730168
Period of Report: 2021-03-15

Reporting Person: Krause Thomas H. (President,Infrastructure SW Gp)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-15	Common Stock, $0.001 par value	A	15625	—	Acquired	68500	Direct
2021-03-15	Common Stock, $0.001 par value	F	15923	$470.77	Disposed	52577	Direct
2021-03-16	Common Stock, $0.001 par value	S	400	$468.234	Disposed	52177	Direct
2021-03-16	Common Stock, $0.001 par value	S	30	$469.35	Disposed	52147	Direct
2021-03-16	Common Stock, $0.001 par value	S	654	$471.199	Disposed	51493	Direct
2021-03-16	Common Stock, $0.001 par value	S	902	$472.036	Disposed	50591	Direct
2021-03-16	Common Stock, $0.001 par value	S	776	$473.058	Disposed	49815	Direct
2021-03-16	Common Stock, $0.001 par value	S	646	$474.348	Disposed	49169	Direct
2021-03-16	Common Stock, $0.001 par value	S	1226	$476.802	Disposed	47943	Direct
2021-03-16	Common Stock, $0.001 par value	S	1354	$477.73	Disposed	46589	Direct
2021-03-16	Common Stock, $0.001 par value	S	1711	$478.658	Disposed	44878	Direct
2021-03-16	Common Stock, $0.001 par value	S	2170	$479.964	Disposed	42708	Direct
2021-03-16	Common Stock, $0.001 par value	S	1600	$480.70	Disposed	41108	Direct
2021-03-16	Common Stock, $0.001 par value	S	3026	$481.85	Disposed	38082	Direct
2021-03-16	Common Stock, $0.001 par value	S	2132	$482.574	Disposed	35950	Direct
2021-03-16	Common Stock, $0.001 par value	S	200	$483.67	Disposed	35750	Direct

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 ("PSU award") granted on March 15, 2017 under the Avago Technologies Limited 2009 Equity Incentive Award 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: Represents 68,500 RSUs.

F3: Consists of shares withheld by the Issuer to satisfy the tax withholding obligations of the Reporting Person upon the vesting of the relevant RSUs, including PSU awards, previously granted to the Reporting Person.

F4: Includes 35,750 RSUs.

F5: Transaction executed in multiple trades at prices ranging from $467.98 to $468.83 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 $470.70 to $471.67 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.

F7: Transaction executed in multiple trades at prices ranging from $471.71 to $472.60 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.

F8: Transaction executed in multiple trades at prices ranging from $472.76 to $473.66 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 $473.84 to $474.82 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.

F10: Transaction executed in multiple trades at prices ranging from $476.25 to $477.24 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 $477.25 to $478.22 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 $478.26 to $479.14 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 $479.27 to $480.26 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 $480.30 to $481.29 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 $481.35 to $482.33 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 $482.42 to $483.35 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 $483.54 to $483.80 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.