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
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 1 |
| Dec 2025 | 1 | 110 |
| Jan 2026 | 0 | 5 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 89 |
| Apr 2026 | 0 | 6 |
| May 2026 | 0 | 0 |
| Jun 2026 | 1 | 50 |
| Jul 2026 | 0 | 3 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 16 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
SAMUELI HENRYDirector
|
GrantCommon Stock, $0.001 par value | 725 | $0.00 | $0.00 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
SAMUELI HENRYDirector
|
Exercise / conversionPerformance Based Restricted Stock Units · Derivative | 2,897 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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 |
SAMUELI HENRYDirector
|
Exercise / conversionCommon Stock | 2,897 | $0.00 | $0.00 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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. Read SEC document |
| March 04, 2019 Filed Mar 7, 2019 02:00 UTC |
SAMUELI HENRYDirector
|
GrantCommon Stock, $0.001 par value | 500 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| March 04, 2019 Filed Mar 7, 2019 02:07 UTC |
Spears Kirsten M.Principal Accounting Officer
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GrantCommon Stock, $0.001 par value | 1,250 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 22:14 UTC |
TAN HOCK EDirector · President and CEO
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Exercise / conversionStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $35.45 | $0.00 |
DisclosureSEC 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. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 22:14 UTC |
TAN HOCK EDirector · President and CEO
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SaleCommon Stock, $0.001 par value | 193 | $283.16 | $54,650.27 |
DisclosureSEC 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. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 22:14 UTC |
TAN HOCK EDirector · President and CEO
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SaleCommon Stock, $0.001 par value | 9,607 | $282.45 | $2,713,525.97 |
DisclosureSEC 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. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 22:14 UTC |
TAN HOCK EDirector · President and CEO
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SaleCommon Stock, $0.001 par value | 10,200 | $281.48 | $2,871,096.00 |
DisclosureSEC 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. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 22:14 UTC |
TAN HOCK EDirector · President and CEO
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Exercise / conversionCommon Stock, $0.001 par value | 20,000 | $35.45 | $709,000.00 |
DisclosureSEC 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.