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Broadcom Inc.

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2789
SEC CIK
0001730168
Parsed reports
484

Last 12 months

Inside the activity.

2 purchase rows · 280 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 20251110
Jan 202605
Feb 202600
Mar 2026089
Apr 202606
May 202600
Jun 2026150
Jul 202603
Aug 202600
Sep 2026016
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
March 18, 2019 Filed Mar 20, 2019 22:17 UTC
Spears Kirsten M.Principal Accounting Officer
Tax withholdingCommon Stock, $0.001 par value 930 $290.29 $269,969.70
Disclosure

SEC source: 0001730168-19-000062 · wf-form4_155312021016551.xml · nonDerivative · entry 2

Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,318

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

F2 · balance_after: Includes 38,250 RSUs.

Read SEC document
March 18, 2019 Filed Mar 20, 2019 22:17 UTC
Spears Kirsten M.Principal Accounting Officer
GrantCommon Stock, $0.001 par value 1,875 $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000062 · wf-form4_155312021016551.xml · nonDerivative · entry 1

Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,248

F1 · shares: On March 18, 2019, 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 vested on March 15, 2019 with respect to the second of four performance periods pursuant to the terms of a performance stock unit award granted on March 15, 2017 under the Avago Technologies Limited 2009 Equity Incentive Award Plan. The Reporting Person received one (1) share of common stock for each one (1) RSU.

F2 · balance_after: Includes 38,250 RSUs.

Read SEC document
March 18, 2019 Filed Mar 20, 2019 22:13 UTC GrantCommon Stock, $0.001 par value 725 $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000060 · wf-form4_155312000775808.xml · nonDerivative · entry 1

SAMUELI HENRY · CIK 0001201633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,460

F1 · shares: On March 18, 2019, 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 vested on March 15, 2019 with respect to the second of four performance periods pursuant to the terms of a performance stock unit award granted on March 15, 2017 under the Broadcom Corporation 2012 Stock Incentive Plan. The Reporting Person received one (1) share of common stock for each one (1) RSU.

F2 · balance_after: Includes 26,255 RSUs.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 22:45 UTC
Brazeal Mark DavidChief Legal Officer
Tax withholdingCommon Stock, $0.001 par value 1,132 $290.29 $328,608.28
Disclosure

SEC source: 0001730168-19-000038 · wf-form4_155303549499514.xml · nonDerivative · entry 1

Brazeal Mark David · CIK 0001627720 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,754

F1 · shares: Consists of shares withheld by the Issuer to satisfy the tax withholding obligations of the Reporting Person upon the vesting of the relevant restricted stock units ("RSUs"), including performance stock units, previously granted to the Reporting Person.

F2 · balance_after: Includes 46,500 RSUs.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 18:50 UTC
Ingram BryanSVP & GM, Wireless Semicon Div
Exercise / conversionPerformance Based Restricted Stock Units · Derivative 2,500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000040 · wf-form4_155303579440984.xml · derivative · entry 5

Ingram Bryan · CIK 0001469468 · SVP & GM, Wireless Semicon Div

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock, $0.001 par value · 2,500 shares

Expires 2020-03-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: Performance RSU granted pursuant to the 2009 Avago Plan on March 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU will fully vest on March 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the Price Contingency has been met. On January 5, 2017, the Price Contingency was met, and on March 15, 2019, the third 25% of the Performance RSU vested.

F4 · derivative.expiration_date: Performance RSU granted pursuant to the 2009 Avago Plan on March 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU will fully vest on March 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the Price Contingency has been met. On January 5, 2017, the Price Contingency was met, and on March 15, 2019, the third 25% of the Performance RSU vested.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 18:50 UTC
Ingram BryanSVP & GM, Wireless Semicon Div
Exercise / conversionPerformance Based Restricted Stock Units · Derivative 6,250 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000040 · wf-form4_155303579440984.xml · derivative · entry 4

Ingram Bryan · CIK 0001469468 · SVP & GM, Wireless Semicon Div

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 6,250 shares

Expires 2019-03-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan ("2009 Avago Plan") on March 15, 2015. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on March 15, 2019, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On April 1, 2016, the Price Contingency was met, and on March 15, 2019, the fourth and final 25% of the Performance RSU vested.

F1 · derivative.expiration_date: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan ("2009 Avago Plan") on March 15, 2015. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on March 15, 2019, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On April 1, 2016, the Price Contingency was met, and on March 15, 2019, the fourth and final 25% of the Performance RSU vested.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 18:50 UTC
Ingram BryanSVP & GM, Wireless Semicon Div
Tax withholdingCommon Stock, $0.001 par value 11,574 $290.29 $3,359,816.46
Disclosure

SEC source: 0001730168-19-000040 · wf-form4_155303579440984.xml · nonDerivative · entry 3

Ingram Bryan · CIK 0001469468 · SVP & GM, Wireless Semicon Div

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,903

F5 · shares: 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 Performance RSUs, previously granted to the Reporting Person.

F3 · balance_after: Includes 51,625 RSUs.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 18:50 UTC
Ingram BryanSVP & GM, Wireless Semicon Div
Exercise / conversionCommon Stock, $0.001 par value 2,500 $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000040 · wf-form4_155303579440984.xml · nonDerivative · entry 2

Ingram Bryan · CIK 0001469468 · SVP & GM, Wireless Semicon Div

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,477

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · shares: Performance RSU granted pursuant to the 2009 Avago Plan on March 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU will fully vest on March 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the Price Contingency has been met. On January 5, 2017, the Price Contingency was met, and on March 15, 2019, the third 25% of the Performance RSU vested.

F2 · price: Each Performance RSU represents the right to receive, at settlement, one share of common stock of the Issuer. This transaction represents the settlement of the Performance RSU in the Issuer's shares of common stock on the scheduled vest date.

F3 · balance_after: Includes 51,625 RSUs.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 18:50 UTC
Ingram BryanSVP & GM, Wireless Semicon Div
Exercise / conversionCommon Stock, $0.001 par value 6,250 $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000040 · wf-form4_155303579440984.xml · nonDerivative · entry 1

Ingram Bryan · CIK 0001469468 · SVP & GM, Wireless Semicon Div

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,977

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan ("2009 Avago Plan") on March 15, 2015. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on March 15, 2019, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On April 1, 2016, the Price Contingency was met, and on March 15, 2019, the fourth and final 25% of the Performance RSU vested.

F2 · price: Each Performance RSU represents the right to receive, at settlement, one share of common stock of the Issuer. This transaction represents the settlement of the Performance RSU in the Issuer's shares of common stock on the scheduled vest date.

F3 · balance_after: Includes 51,625 RSUs.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 22:57 UTC
Kawwas Charlie BSVP & Chief Sales Officer
Exercise / conversionPerformance Based Restricted Stock Units · Derivative 3,750 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000042 · wf-form4_155303623824402.xml · derivative · entry 5

Kawwas Charlie B · CIK 0001608425 · SVP & Chief Sales Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,750

Underlying: Common Stock, $0.001 par value · 3,750 shares

Expires 2020-03-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: Performance RSU granted pursuant to the 2009 Avago Plan on March 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU will fully vest on March 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the Price Contingency has been met. On January 5, 2017, the Price Contingency was met, and on March 15, 2019, the third 25% of the Performance RSU vested.

F4 · derivative.expiration_date: Performance RSU granted pursuant to the 2009 Avago Plan on March 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU will fully vest on March 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the Price Contingency has been met. On January 5, 2017, the Price Contingency was met, and on March 15, 2019, the third 25% of the Performance RSU vested.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 22:57 UTC
Kawwas Charlie BSVP & Chief Sales Officer
Exercise / conversionPerformance Based Restricted Stock Units · Derivative 3,750 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000042 · wf-form4_155303623824402.xml · derivative · entry 4

Kawwas Charlie B · CIK 0001608425 · SVP & Chief Sales Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 3,750 shares

Expires 2019-03-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan ("2009 Avago Plan") on March 15, 2015. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on March 15, 2019, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On April 1, 2016, the Price Contingency was met, and on March 15, 2019, the fourth and final 25% of the Performance RSU vested.

F1 · derivative.expiration_date: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan ("2009 Avago Plan") on March 15, 2015. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on March 15, 2019, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On April 1, 2016, the Price Contingency was met, and on March 15, 2019, the fourth and final 25% of the Performance RSU vested.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 22:57 UTC
Kawwas Charlie BSVP & Chief Sales Officer
Tax withholdingCommon Stock, $0.001 par value 10,339 $290.29 $3,001,308.31
Disclosure

SEC source: 0001730168-19-000042 · wf-form4_155303623824402.xml · nonDerivative · entry 3

Kawwas Charlie B · CIK 0001608425 · SVP & Chief Sales Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,234

F5 · shares: 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 Performance RSUs previously granted to the Reporting Person.

F3 · balance_after: Includes 62,625 RSUs and 85 shares acquired under the Issuer's Employee Stock Purchase Plan on March 14, 2019.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 22:57 UTC
Kawwas Charlie BSVP & Chief Sales Officer
Exercise / conversionCommon Stock, $0.001 par value 3,750 $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000042 · wf-form4_155303623824402.xml · nonDerivative · entry 2

Kawwas Charlie B · CIK 0001608425 · SVP & Chief Sales Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,573

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · shares: Performance RSU granted pursuant to the 2009 Avago Plan on March 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU will fully vest on March 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the Price Contingency has been met. On January 5, 2017, the Price Contingency was met, and on March 15, 2019, the third 25% of the Performance RSU vested.

F2 · price: Each Performance RSU represents the right to receive, at settlement, one share of common stock of the Issuer. This transaction represents the settlement of the Performance RSU in the Issuer's shares of common stock on the scheduled vest date.

F3 · balance_after: Includes 62,625 RSUs and 85 shares acquired under the Issuer's Employee Stock Purchase Plan on March 14, 2019.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 22:57 UTC
Kawwas Charlie BSVP & Chief Sales Officer
Exercise / conversionCommon Stock, $0.001 par value 3,750 $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000042 · wf-form4_155303623824402.xml · nonDerivative · entry 1

Kawwas Charlie B · CIK 0001608425 · SVP & Chief Sales Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,823

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan ("2009 Avago Plan") on March 15, 2015. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on March 15, 2019, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On April 1, 2016, the Price Contingency was met, and on March 15, 2019, the fourth and final 25% of the Performance RSU vested.

F2 · price: Each Performance RSU represents the right to receive, at settlement, one share of common stock of the Issuer. This transaction represents the settlement of the Performance RSU in the Issuer's shares of common stock on the scheduled vest date.

F3 · balance_after: Includes 62,625 RSUs and 85 shares acquired under the Issuer's Employee Stock Purchase Plan on March 14, 2019.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 19:03 UTC
Krause Thomas H.Chief Financial Officer
Exercise / conversionPerformance Based Restricted Stock Units · Derivative 2,500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000044 · wf-form4_155303661506846.xml · derivative · entry 5

Krause Thomas H. · CIK 0001670643 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock, $0.001 par value · 2,500 shares

Expires 2020-03-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: Performance RSU granted pursuant to the 2009 Avago Plan on March 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU will fully vest on March 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the Price Contingency has been met. On January 5, 2017, the Price Contingency was met, and on March 15, 2019, the third 25% of the Performance RSU vested.

F4 · derivative.expiration_date: Performance RSU granted pursuant to the 2009 Avago Plan on March 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU will fully vest on March 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the Price Contingency has been met. On January 5, 2017, the Price Contingency was met, and on March 15, 2019, the third 25% of the Performance RSU vested.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 19:03 UTC
Krause Thomas H.Chief Financial Officer
Exercise / conversionPerformance Based Restricted Stock Units · Derivative 2,500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000044 · wf-form4_155303661506846.xml · derivative · entry 4

Krause Thomas H. · CIK 0001670643 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 2,500 shares

Expires 2019-03-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan ("2009 Avago Plan") on March 15, 2015. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on March 15, 2019, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On April 1, 2016, the Price Contingency was met, and on March 15, 2019, the fourth and final 25% of the Performance RSU vested.

F1 · derivative.expiration_date: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan ("2009 Avago Plan") on March 15, 2015. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on March 15, 2019, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On April 1, 2016, the Price Contingency was met, and on March 15, 2019, the fourth and final 25% of the Performance RSU vested.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 19:03 UTC
Krause Thomas H.Chief Financial Officer
Tax withholdingCommon Stock, $0.001 par value 7,986 $290.29 $2,318,255.94
Disclosure

SEC source: 0001730168-19-000044 · wf-form4_155303661506846.xml · nonDerivative · entry 3

Krause Thomas H. · CIK 0001670643 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,856

F5 · shares: 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 Performance RSUs previously granted to the Reporting Person.

F3 · balance_after: Includes 66,000 RSUs.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 19:03 UTC
Krause Thomas H.Chief Financial Officer
Exercise / conversionCommon Stock, $0.001 par value 2,500 $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000044 · wf-form4_155303661506846.xml · nonDerivative · entry 2

Krause Thomas H. · CIK 0001670643 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,842

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · shares: Performance RSU granted pursuant to the 2009 Avago Plan on March 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU will fully vest on March 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the Price Contingency has been met. On January 5, 2017, the Price Contingency was met, and on March 15, 2019, the third 25% of the Performance RSU vested.

F2 · price: Each Performance RSU represents the right to receive, at settlement, one share of common stock of the Issuer. This transaction represents the settlement of the Performance RSU in the Issuer's shares of common stock on the scheduled vest date.

F3 · balance_after: Includes 66,000 RSUs.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 19:03 UTC
Krause Thomas H.Chief Financial Officer
Exercise / conversionCommon Stock, $0.001 par value 2,500 $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000044 · wf-form4_155303661506846.xml · nonDerivative · entry 1

Krause Thomas H. · CIK 0001670643 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,342

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan ("2009 Avago Plan") on March 15, 2015. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on March 15, 2019, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On April 1, 2016, the Price Contingency was met, and on March 15, 2019, the fourth and final 25% of the Performance RSU vested.

F2 · price: Each Performance RSU represents the right to receive, at settlement, one share of common stock of the Issuer. This transaction represents the settlement of the Performance RSU in the Issuer's shares of common stock on the scheduled vest date.

F3 · balance_after: Includes 66,000 RSUs.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 23:11 UTC Exercise / conversionPerformance Based Restricted Stock Units · Derivative 2,897 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000046 · wf-form4_155303705685149.xml · derivative · entry 7

SAMUELI HENRY · CIK 0001201633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,897

Underlying: Common Stock · 2,897 shares

Expires 2020-03-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Broadcom Corporation 2012 Stock Incentive Plan on March 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on March 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On January 5, 2017, the Price Contingency was met, and on March 15, 2019, the third 25% of the Performance RSU vested.

F1 · derivative.exercise_date: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Broadcom Corporation 2012 Stock Incentive Plan on March 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on March 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On January 5, 2017, the Price Contingency was met, and on March 15, 2019, the third 25% of the Performance RSU vested.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 23:11 UTC Exercise / conversionCommon Stock 2,897 $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000046 · wf-form4_155303705685149.xml · nonDerivative · entry 1

SAMUELI HENRY · CIK 0001201633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,735

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Broadcom Corporation 2012 Stock Incentive Plan on March 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on March 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On January 5, 2017, the Price Contingency was met, and on March 15, 2019, the third 25% of the Performance RSU vested.

F2 · price: Each Performance RSU represents the right to receive, at settlement, one share of common stock of the Issuer. This transaction represents the settlement of the Performance RSU in the Issuer's shares of common stock on the scheduled vest date.

F3 · balance_after: Includes 26,255 RSUs.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 23:19 UTC
Spears Kirsten M.Principal Accounting Officer
Exercise / conversionPerformance Based Restricted Stock Units · Derivative 2,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000048 · wf-form4_155303755529155.xml · derivative · entry 5

Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock, $0.001 par value · 2,000 shares

Expires 2020-03-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · shares: Performance RSU granted pursuant to the 2009 Avago Plan on March 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU will fully vest on March 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the Price Contingency has been met. On January 5, 2017, the Price Contingency was met, and on March 15, 2019, the third 25% of the Performance RSU vested.

F4 · derivative.exercise_date: Performance RSU granted pursuant to the 2009 Avago Plan on March 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU will fully vest on March 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the Price Contingency has been met. On January 5, 2017, the Price Contingency was met, and on March 15, 2019, the third 25% of the Performance RSU vested.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 23:19 UTC
Spears Kirsten M.Principal Accounting Officer
Exercise / conversionPerformance Based Restricted Stock Units · Derivative 1,750 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000048 · wf-form4_155303755529155.xml · derivative · entry 4

Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 1,750 shares

Expires 2019-03-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan ("2009 Avago Plan") on March 15, 2015. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on March 15, 2019, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On April 1, 2016, the Price Contingency was met, and on March 15, 2019, the fourth and final 25% of the Performance RSU vested.

F1 · derivative.exercise_date: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan ("2009 Avago Plan") on March 15, 2015. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on March 15, 2019, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On April 1, 2016, the Price Contingency was met, and on March 15, 2019, the fourth and final 25% of the Performance RSU vested.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 23:19 UTC
Spears Kirsten M.Principal Accounting Officer
Tax withholdingCommon Stock, $0.001 par value 5,385 $290.29 $1,563,211.65
Disclosure

SEC source: 0001730168-19-000048 · wf-form4_155303755529155.xml · nonDerivative · entry 3

Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,373

F5 · shares: 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 Performance RSUs previously granted to the Reporting Person.

F3 · balance_after: Includes 38,250 RSUs and 41 shares acquired under the Issuer's Employee Stock Purchase Plan on March 14, 2019.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 23:19 UTC
Spears Kirsten M.Principal Accounting Officer
Exercise / conversionCommon Stock, $0.001 par value 2,000 $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000048 · wf-form4_155303755529155.xml · nonDerivative · entry 2

Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,758

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · shares: Performance RSU granted pursuant to the 2009 Avago Plan on March 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU will fully vest on March 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the Price Contingency has been met. On January 5, 2017, the Price Contingency was met, and on March 15, 2019, the third 25% of the Performance RSU vested.

F2 · price: Each Performance RSU represents the right to receive, at settlement, one share of common stock of the Issuer. This transaction represents the settlement of the Performance RSU in the Issuer's shares of common stock on the scheduled vest date.

F3 · balance_after: Includes 38,250 RSUs and 41 shares acquired under the Issuer's Employee Stock Purchase Plan on March 14, 2019.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 23:19 UTC
Spears Kirsten M.Principal Accounting Officer
Exercise / conversionCommon Stock, $0.001 par value 1,750 $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000048 · wf-form4_155303755529155.xml · nonDerivative · entry 1

Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,758

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan ("2009 Avago Plan") on March 15, 2015. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on March 15, 2019, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On April 1, 2016, the Price Contingency was met, and on March 15, 2019, the fourth and final 25% of the Performance RSU vested.

F2 · price: Each Performance RSU represents the right to receive, at settlement, one share of common stock of the Issuer. This transaction represents the settlement of the Performance RSU in the Issuer's shares of common stock on the scheduled vest date.

F3 · balance_after: Includes 38,250 RSUs and 41 shares acquired under the Issuer's Employee Stock Purchase Plan on March 14, 2019.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 23:30 UTC
TAN HOCK EDirector · President and CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $35.45 $0.00
Disclosure

SEC source: 0001730168-19-000050 · wf-form4_155303821900270.xml · derivative · entry 13

TAN HOCK E · CIK 0001211588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,250

Underlying: Common Stock, $0.001 par value · 20,000 shares

Expires 2020-03-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F13 · derivative.exercise_date: Share price performance option (the "2013 Option") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan. The 2013 Option is fully vested and the exercisability requirements for the 2013 Option have been met.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 23:30 UTC
TAN HOCK EDirector · President and CEO
SaleCommon Stock, $0.001 par value 394 $296.34 $116,759.14
Disclosure

SEC source: 0001730168-19-000050 · wf-form4_155303821900270.xml · nonDerivative · entry 12

TAN HOCK E · CIK 0001211588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,088

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F12 · price: Transaction executed in multiple trades at prices ranging from $296.15 to $296.49 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.

F2 · balance_after: Includes 3,004 Restricted Stock Units.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 23:30 UTC
TAN HOCK EDirector · President and CEO
SaleCommon Stock, $0.001 par value 2,036 $295.42 $601,469.01
Disclosure

SEC source: 0001730168-19-000050 · wf-form4_155303821900270.xml · nonDerivative · entry 11

TAN HOCK E · CIK 0001211588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,482

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F11 · price: Transaction executed in multiple trades at prices ranging from $295.08 to $296.06 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.

F2 · balance_after: Includes 3,004 Restricted Stock Units.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 23:30 UTC
TAN HOCK EDirector · President and CEO
SaleCommon Stock, $0.001 par value 5,580 $294.56 $1,643,667.12
Disclosure

SEC source: 0001730168-19-000050 · wf-form4_155303821900270.xml · nonDerivative · entry 10

TAN HOCK E · CIK 0001211588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,518

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F10 · price: Transaction executed in multiple trades at prices ranging from $293.98 to $294.94 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.

F2 · balance_after: Includes 3,004 Restricted Stock Units.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 23:30 UTC
TAN HOCK EDirector · President and CEO
SaleCommon Stock, $0.001 par value 300 $292.90 $87,870.00
Disclosure

SEC source: 0001730168-19-000050 · wf-form4_155303821900270.xml · nonDerivative · entry 9

TAN HOCK E · CIK 0001211588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,098

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · balance_after: Includes 3,004 Restricted Stock Units.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 23:30 UTC
TAN HOCK EDirector · President and CEO
SaleCommon Stock, $0.001 par value 1,225 $291.96 $357,654.68
Disclosure

SEC source: 0001730168-19-000050 · wf-form4_155303821900270.xml · nonDerivative · entry 8

TAN HOCK E · CIK 0001211588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,398

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F9 · price: Transaction executed in multiple trades at prices ranging from $291.45 to $292.36 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.

F2 · balance_after: Includes 3,004 Restricted Stock Units.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 23:30 UTC
TAN HOCK EDirector · President and CEO
SaleCommon Stock, $0.001 par value 2,345 $290.86 $682,073.74
Disclosure

SEC source: 0001730168-19-000050 · wf-form4_155303821900270.xml · nonDerivative · entry 7

TAN HOCK E · CIK 0001211588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,623

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F8 · price: Transaction executed in multiple trades at prices ranging from $290.44 to $291.26 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.

F2 · balance_after: Includes 3,004 Restricted Stock Units.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 23:30 UTC
TAN HOCK EDirector · President and CEO
SaleCommon Stock, $0.001 par value 1,800 $290.10 $522,181.80
Disclosure

SEC source: 0001730168-19-000050 · wf-form4_155303821900270.xml · nonDerivative · entry 6

TAN HOCK E · CIK 0001211588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,968

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F7 · price: Transaction executed in multiple trades at prices ranging from $289.43 to $290.37 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.

F2 · balance_after: Includes 3,004 Restricted Stock Units.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 23:30 UTC
TAN HOCK EDirector · President and CEO
SaleCommon Stock, $0.001 par value 3,720 $288.40 $1,072,833.12
Disclosure

SEC source: 0001730168-19-000050 · wf-form4_155303821900270.xml · nonDerivative · entry 5

TAN HOCK E · CIK 0001211588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,768

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F6 · price: Transaction executed in multiple trades at prices ranging from $287.76 to $288.64 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.

F2 · balance_after: Includes 3,004 Restricted Stock Units.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 23:30 UTC
TAN HOCK EDirector · President and CEO
SaleCommon Stock, $0.001 par value 400 $286.21 $114,483.20
Disclosure

SEC source: 0001730168-19-000050 · wf-form4_155303821900270.xml · nonDerivative · entry 4

TAN HOCK E · CIK 0001211588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,488

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F5 · price: Transaction executed in multiple trades at prices ranging from $286.14 to $286.35 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.

F2 · balance_after: Includes 3,004 Restricted Stock Units.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 23:30 UTC
TAN HOCK EDirector · President and CEO
SaleCommon Stock, $0.001 par value 900 $285.29 $256,760.10
Disclosure

SEC source: 0001730168-19-000050 · wf-form4_155303821900270.xml · nonDerivative · entry 3

TAN HOCK E · CIK 0001211588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,888

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F4 · price: Transaction executed in multiple trades at prices ranging from $284.80 to $285.65 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.

F2 · balance_after: Includes 3,004 Restricted Stock Units.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 23:30 UTC
TAN HOCK EDirector · President and CEO
SaleCommon Stock, $0.001 par value 1,300 $284.29 $369,580.90
Disclosure

SEC source: 0001730168-19-000050 · wf-form4_155303821900270.xml · nonDerivative · entry 2

TAN HOCK E · CIK 0001211588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,788

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F3 · price: Transaction executed in multiple trades at prices ranging from $283.80 to $284.70 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.

F2 · balance_after: Includes 3,004 Restricted Stock Units.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 23:30 UTC
TAN HOCK EDirector · President and CEO
Exercise / conversionCommon Stock, $0.001 par value 20,000 $35.45 $709,000.00
Disclosure

SEC source: 0001730168-19-000050 · wf-form4_155303821900270.xml · nonDerivative · entry 1

TAN HOCK E · CIK 0001211588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,088

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · balance_after: Includes 3,004 Restricted Stock Units.

Read SEC document
March 04, 2019 Filed Mar 7, 2019 01:25 UTC
Brazeal Mark DavidChief Legal Officer
GrantCommon Stock, $0.001 par value 1,625 $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000018 · wf-form4_155192191900135.xml · nonDerivative · entry 1

Brazeal Mark David · CIK 0001627720 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,886

F1 · shares: On March 4, 2019, 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 will vest with respect to the first of four performance periods pursuant to the terms of a performance stock unit award granted on March 15, 2018 under the Avago Technologies Limited 2009 Equity Incentive Award Plan. The RSUs are subject to time-based vesting conditions and will vest in full on March 15, 2019, subject to the Reporting Person's continued service through such date. Upon vesting thereof, the Reporting Person is entitled to one (1) share of common stock for each one (1) RSU.

F2 · balance_after: Includes 49,750 RSUs.

Read SEC document
March 04, 2019 Filed Mar 6, 2019 20:33 UTC
Ingram BryanSVP & GM, Wireless Semicon Div
GrantCommon Stock, $0.001 par value 1,875 $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000020 · wf-form4_155192238512988.xml · nonDerivative · entry 1

Ingram Bryan · CIK 0001469468 · SVP & GM, Wireless Semicon Div

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,727

F1 · shares: On March 4, 2019, 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 will vest with respect to the first of four performance periods pursuant to the terms of a performance stock unit award granted on March 15, 2018 under the Avago Technologies Limited 2009 Equity Incentive Award Plan. The RSUs are subject to time-based vesting conditions and will vest in full on March 15, 2019, subject to the Reporting Person's continued service through such date. Upon vesting thereof, the Reporting Person is entitled to one (1) share of common stock for each one (1) RSU.

F2 · balance_after: Includes 67,250 RSUs.

Read SEC document
March 04, 2019 Filed Mar 7, 2019 01:48 UTC
Kawwas Charlie BSVP & Chief Sales Officer
GrantCommon Stock, $0.001 par value 1,875 $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000022 · wf-form4_155192328404334.xml · nonDerivative · entry 1

Kawwas Charlie B · CIK 0001608425 · SVP & Chief Sales Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,988

F1 · shares: On March 4, 2019, 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 will vest with respect to the first of four performance periods pursuant to the terms of a performance stock unit award granted on March 15, 2018 under the Avago Technologies Limited 2009 Equity Incentive Award Plan. The RSUs are subject to time-based vesting conditions and will vest in full on March 15, 2019, subject to the Reporting Person's continued service through such date. Upon vesting thereof, the Reporting Person is entitled to one (1) share of common stock for each one (1) RSU.

F2 · balance_after: Includes 77,000 RSUs.

Read SEC document
March 04, 2019 Filed Mar 6, 2019 20:55 UTC
Krause Thomas H.Chief Financial Officer
GrantCommon Stock, $0.001 par value 2,000 $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000024 · wf-form4_155192369654839.xml · nonDerivative · entry 1

Krause Thomas H. · CIK 0001670643 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,842

F1 · shares: On March 4, 2019, 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 will vest with respect to the first of four performance periods pursuant to the terms of a performance stock unit award granted on March 15, 2018 under the Avago Technologies Limited 2009 Equity Incentive Award Plan. The RSUs are subject to time-based vesting conditions and will vest in full on March 15, 2019, subject to the Reporting Person's continued service through such date. Upon vesting thereof, the Reporting Person is entitled to one (1) share of common stock for each one (1) RSU.

F2 · balance_after: Includes 78,125 RSUs.

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March 04, 2019 Filed Mar 7, 2019 02:00 UTC GrantCommon Stock, $0.001 par value 500 $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000026 · wf-form4_155192400947844.xml · nonDerivative · entry 1

SAMUELI HENRY · CIK 0001201633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 254,838

F1 · shares: On March 4, 2019, 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 will vest with respect to the first of four performance periods pursuant to the terms of a performance stock unit award granted on March 15, 2018 under the Broadcom Corporation 2012 Stock Incentive Plan. The RSUs are subject to time-based vesting conditions and will vest in full on March 15, 2019, subject to the Reporting Person's continued service through such date. Upon vesting thereof, the Reporting Person is entitled to one (1) share of common stock for each one (1) RSU.

F2 · balance_after: Includes 30,877 RSUs.

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March 04, 2019 Filed Mar 7, 2019 02:07 UTC
Spears Kirsten M.Principal Accounting Officer
GrantCommon Stock, $0.001 par value 1,250 $0.00 $0.00
Disclosure

SEC source: 0001730168-19-000028 · wf-form4_155192441602297.xml · nonDerivative · entry 1

Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,967

F1 · shares: On March 4, 2019, 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 will vest with respect to the first of four performance periods pursuant to the terms of a performance stock unit award granted on March 15, 2018 under the Avago Technologies Limited 2009 Equity Incentive Award Plan. The RSUs are subject to time-based vesting conditions and will vest in full on March 15, 2019, subject to the Reporting Person's continued service through such date. Upon vesting thereof, the Reporting Person is entitled to one (1) share of common stock for each one (1) RSU.

F2 · balance_after: Includes 46,375 RSUs.

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February 15, 2019 Filed Feb 20, 2019 22:14 UTC
TAN HOCK EDirector · President and CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $35.45 $0.00
Disclosure

SEC source: 0001730168-19-000016 · wf-form4_155070084348546.xml · derivative · entry 5

TAN HOCK E · CIK 0001211588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,250

Underlying: Common Stock, $0.001 par value · 20,000 shares

Expires 2020-03-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F6 · derivative.exercise_date: Share price performance option (the "2013 Option") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan. The 2013 Option is fully vested and the exercisability requirements for the 2013 Option have been met.

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February 15, 2019 Filed Feb 20, 2019 22:14 UTC
TAN HOCK EDirector · President and CEO
SaleCommon Stock, $0.001 par value 193 $283.16 $54,650.27
Disclosure

SEC source: 0001730168-19-000016 · wf-form4_155070084348546.xml · nonDerivative · entry 4

TAN HOCK E · CIK 0001211588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,088

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F5 · price: Transaction executed in multiple trades at prices ranging from $283.11 to $283.21 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.

F2 · balance_after: Includes 3,004 Restricted Stock Units.

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February 15, 2019 Filed Feb 20, 2019 22:14 UTC
TAN HOCK EDirector · President and CEO
SaleCommon Stock, $0.001 par value 9,607 $282.45 $2,713,525.97
Disclosure

SEC source: 0001730168-19-000016 · wf-form4_155070084348546.xml · nonDerivative · entry 3

TAN HOCK E · CIK 0001211588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,281

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F4 · price: Transaction executed in multiple trades at prices ranging from $282.11 to $283.10 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.

F2 · balance_after: Includes 3,004 Restricted Stock Units.

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February 15, 2019 Filed Feb 20, 2019 22:14 UTC
TAN HOCK EDirector · President and CEO
SaleCommon Stock, $0.001 par value 10,200 $281.48 $2,871,096.00
Disclosure

SEC source: 0001730168-19-000016 · wf-form4_155070084348546.xml · nonDerivative · entry 2

TAN HOCK E · CIK 0001211588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,888

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F3 · price: Transaction executed in multiple trades at prices ranging from $281.07 to $282.05 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.

F2 · balance_after: Includes 3,004 Restricted Stock Units.

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February 15, 2019 Filed Feb 20, 2019 22:14 UTC
TAN HOCK EDirector · President and CEO
Exercise / conversionCommon Stock, $0.001 par value 20,000 $35.45 $709,000.00
Disclosure

SEC source: 0001730168-19-000016 · wf-form4_155070084348546.xml · nonDerivative · entry 1

TAN HOCK E · CIK 0001211588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,088

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · balance_after: Includes 3,004 Restricted Stock Units.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.