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Broadcom Inc. — Director's Dealing 2021
Feb 11, 2021
29739_dirs_2021-02-11_4cf5f5ef-b9a2-4ee2-805a-a41e1a11f9f9.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: 2021-02-09
Reporting Person: HARTENSTEIN EDDY W (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-02-09 | Common Stock, $0.001 par value | S | 30 | $469.88 | Disposed | 9510 | Direct |
| 2021-02-09 | Common Stock, $0.001 par value | S | 123 | $471.662 | Disposed | 9387 | Direct |
| 2021-02-09 | Common Stock, $0.001 par value | S | 63 | $472.803 | Disposed | 9324 | Direct |
| 2021-02-09 | Common Stock, $0.001 par value | S | 223 | $473.863 | Disposed | 9101 | Direct |
| 2021-02-09 | Common Stock, $0.001 par value | S | 91 | $474.665 | Disposed | 9010 | Direct |
| 2021-02-10 | Common Stock, $0.001 par value | S | 282 | $469.389 | Disposed | 8728 | Direct |
| 2021-02-10 | Common Stock, $0.001 par value | S | 85 | $470.298 | Disposed | 8643 | Direct |
| 2021-02-10 | Common Stock, $0.001 par value | S | 65 | $471.568 | Disposed | 8578 | Direct |
| 2021-02-10 | Common Stock, $0.001 par value | S | 67 | $474.252 | Disposed | 8511 | Direct |
| 2021-02-10 | Common Stock, $0.001 par value | S | 31 | $475.13 | Disposed | 8480 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, $0.001 par value | 22892 | Indirect |
Footnotes
F1: Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
F2: Includes 949 restricted stock units.
F3: Transaction executed in multiple trades at prices ranging from $471.20 to $472.02 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 $472.30 to $473.26 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.
F5: Transaction executed in multiple trades at prices ranging from $473.44 to $474.41 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 $474.44 to $475.05 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 $468.94 to $469.84 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 $469.94 to $470.90 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 $471.19 to $471.86 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.
F10: Transaction executed in multiple trades at prices ranging from $474.06 to $474.45 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: Shares held by the Hartenstein family trust, for which the Reporting Person serves as trustee.