person · Reporting owner

Hao Kenneth

Disclosed activity across 6 companies

Tapewire entity: 10933
SEC CIK: 0001415357

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Broadcom Inc.AVGO · Entity 2789	Director	April 20, 2026	April 22, 2026
Broadcom LtdAVGO · Entity 167990	Director	March 20, 2018	March 22, 2018
Penguin Solutions, Inc.SGH · Entity 4377	Director	January 07, 2021	January 08, 2021

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Broadcom Inc.

Report date April 20, 2026 · Filed April 22, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, $0.001 par valueSEC Table I · non-derivative	Direct	4,806	Reported balance After 2026-04-20 transaction · row 1 1 source row Row 1 · 2026-04-20 · Grant · Acquired 864 · Balance 4,806 F1: Grant of Restricted Stock Units ("RSUs "). Upon vesting thereof, the Reporting Person is entitled to receive one (1) share of the Issuer's common stock par value $0.001 per share (the "Common Stock") for each one (1) RSU. The RSUs vest in full on the earlier of (i) April 19, 2027 or (ii) the date of the Issuer's 2027 annual meeting of stockholders, subject to the Reporting Person's continued service on the vesting date.
Common Stock, $0.001 par valueSEC Table I · non-derivative	IndirectBy LLC	1,066,000	Reported balance Holding disclosure · report date 2026-04-20 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 1,066,000
Common Stock, $0.001 par valueSEC Table I · non-derivative	IndirectBy Limited Partnership	53,920	Reported balance Holding disclosure · report date 2026-04-20 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 53,920

Filing footnotes · ownership attribution and instrument terms

F1: Grant of Restricted Stock Units ("RSUs "). Upon vesting thereof, the Reporting Person is entitled to receive one (1) share of the Issuer's common stock par value $0.001 per share (the "Common Stock") for each one (1) RSU. The RSUs vest in full on the earlier of (i) April 19, 2027 or (ii) the date of the Issuer's 2027 annual meeting of stockholders, subject to the Reporting Person's continued service on the vesting date.

Broadcom Ltd

Report date March 20, 2018 · Filed March 22, 2018

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Ordinary Shares, no par valueSEC Table I · non-derivative	Direct	0	Reported balance After 2018-03-20 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2018-03-20 · Exercise / conversion · Acquired 9,854 · Balance 0 F1: Represents an exercise of a stock option scheduled to expire within a month of the date of exercise. F2: Following the exercise of the stock option reported herein, Mr. Hao transferred the 9,854 ordinary shares received upon exercise to the Hao Family Trust u/a/d 10/12/99 where he continues to hold the ordinary shares.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $35.38 · Expires 2018-04-09	Direct	0	Reported balance After 2018-03-20 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2018-03-20 · Exercise / conversion · Disposed 9,854 · Balance 0 F1: Represents an exercise of a stock option scheduled to expire within a month of the date of exercise.
Ordinary Shares, no par valueSEC Table I · non-derivative	IndirectSee footnote	9,854	Reported balance Holding disclosure · report date 2018-03-20 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 9,854 F2: Following the exercise of the stock option reported herein, Mr. Hao transferred the 9,854 ordinary shares received upon exercise to the Hao Family Trust u/a/d 10/12/99 where he continues to hold the ordinary shares.
Ordinary Shares, no par valueSEC Table I · non-derivative	IndirectSee footnote	75,289	Reported balance Holding disclosure · report date 2018-03-20 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 75,289 F5: These securities are held by Mr. Hao for the benefit of certain entities affiliated with AIV GP IV ("Silver Lake"). Mr. Hao serves as a director of the Issuer. Pursuant to Mr. Hao's arrangement with Silver Lake with respect to director compensation, upon the sale of these securities, the proceeds from such sale(s) are expected to be remitted to Silver Lake and/or its limited partners. Mr. Hao, through his role at Silver Lake and its affiliates, may be deemed to have an indirect interest in these securities. Mr. Hao is a director of AIV GP IV.
Ordinary Shares, no par valueSEC Table I · non-derivative	IndirectSee footnote	18	Reported balance Holding disclosure · report date 2018-03-20 · row 6 Holding and transaction disclosures are not merged. 1 source row Row 6 · Balance 18 F6: These securities are held by Mr. Hao's family limited partnership.
Ordinary Shares, no par valueSEC Table I · non-derivative	IndirectHeld through SLP Argo I Ltd	1,587,737	Reported balance Holding disclosure · report date 2018-03-20 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 1,587,737 F3: These securities are directly held by SLP Argo I Ltd. ("Argo I"). Mr. Hao, as a director of Argo I and Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV"), the sole general partner of Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), the sole general partner of Silver Lake Partners IV Cayman (AIV II), L.P., the sole shareholder of Argo I, may be deemed to be an indirect beneficial owner of the securities directly owned by Argo I.
Ordinary Shares, no par valueSEC Table I · non-derivative	IndirectHeld through SLP Argo II Ltd.	30,830	Reported balance Holding disclosure · report date 2018-03-20 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 30,830 F4: These securities are directly held by SLP Argo II Ltd. ("Argo II"). Mr. Hao, as a director of Argo II and AIV GP IV, the sole general partner of SLTA IV Cayman, the sole general partner of Silver Lake Technology Investors IV Cayman, L.P., the sole shareholder of Argo II, may be deemed to be an indirect beneficial owner of the securities directly owned by Argo II.

Filing footnotes · ownership attribution and instrument terms

F1: Represents an exercise of a stock option scheduled to expire within a month of the date of exercise.

F2: Following the exercise of the stock option reported herein, Mr. Hao transferred the 9,854 ordinary shares received upon exercise to the Hao Family Trust u/a/d 10/12/99 where he continues to hold the ordinary shares.

F3: These securities are directly held by SLP Argo I Ltd. ("Argo I"). Mr. Hao, as a director of Argo I and Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV"), the sole general partner of Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), the sole general partner of Silver Lake Partners IV Cayman (AIV II), L.P., the sole shareholder of Argo I, may be deemed to be an indirect beneficial owner of the securities directly owned by Argo I.

F4: These securities are directly held by SLP Argo II Ltd. ("Argo II"). Mr. Hao, as a director of Argo II and AIV GP IV, the sole general partner of SLTA IV Cayman, the sole general partner of Silver Lake Technology Investors IV Cayman, L.P., the sole shareholder of Argo II, may be deemed to be an indirect beneficial owner of the securities directly owned by Argo II.

F5: These securities are held by Mr. Hao for the benefit of certain entities affiliated with AIV GP IV ("Silver Lake"). Mr. Hao serves as a director of the Issuer. Pursuant to Mr. Hao's arrangement with Silver Lake with respect to director compensation, upon the sale of these securities, the proceeds from such sale(s) are expected to be remitted to Silver Lake and/or its limited partners. Mr. Hao, through his role at Silver Lake and its affiliates, may be deemed to have an indirect interest in these securities. Mr. Hao is a director of AIV GP IV.

F6: These securities are held by Mr. Hao's family limited partnership.

Penguin Solutions, Inc.

Report date January 07, 2021 · Filed January 08, 2021

Jointly reported with Silver Lake (Offshore) AIV GP III, Ltd., Silver Lake Technology Associates III Cayman, L.P., Silver Lake Partners III Cayman (AIV III), L.P., Silver Lake Technology Investors III Cayman, L.P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Ordinary SharesSEC Table I · non-derivative	IndirectHeld through Silver Lake Partners III Cayman (AIV III), L.P.	4,752,228	Last balance in matching sequence After 2021-01-07 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2021-01-07 · Sale · Disposed 656,463 · Balance 5,481,631 F1: These securities are directly held by Silver Lake Partners III Cayman (AIV III), L.P. ("SLP III Cayman"). F3: Silver Lake Technology Associates III Cayman, L.P. ("SLTA III Cayman") is the general partner of SLP III Cayman and SLTI III Cayman. Silver Lake (Offshore) AIV GP III, Ltd. is the general partner of SLTA III Cayman. F7: Messrs. Kenneth Hao and Ajay Shah each serves as a director of the Issuer, and Mr. Shah serves as Executive Chairman of the Board, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F8: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Row 2 · 2021-01-07 · Sale · Disposed 729,403 · Balance 4,752,228 F1: These securities are directly held by Silver Lake Partners III Cayman (AIV III), L.P. ("SLP III Cayman"). F3: Silver Lake Technology Associates III Cayman, L.P. ("SLTA III Cayman") is the general partner of SLP III Cayman and SLTI III Cayman. Silver Lake (Offshore) AIV GP III, Ltd. is the general partner of SLTA III Cayman. F7: Messrs. Kenneth Hao and Ajay Shah each serves as a director of the Issuer, and Mr. Shah serves as Executive Chairman of the Board, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F8: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
Ordinary SharesSEC Table I · non-derivative	IndirectHeld through Silver Lake Technology Investors III Cayman, L.P.	25,610	Last balance in matching sequence After 2021-01-07 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 3 · 2021-01-07 · Sale · Disposed 3,537 · Balance 29,540 F2: These securities are directly held by Silver Lake Technology Investors III Cayman, L.P. ("SLTI III Cayman"). F3: Silver Lake Technology Associates III Cayman, L.P. ("SLTA III Cayman") is the general partner of SLP III Cayman and SLTI III Cayman. Silver Lake (Offshore) AIV GP III, Ltd. is the general partner of SLTA III Cayman. F7: Messrs. Kenneth Hao and Ajay Shah each serves as a director of the Issuer, and Mr. Shah serves as Executive Chairman of the Board, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F8: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Row 4 · 2021-01-07 · Sale · Disposed 3,930 · Balance 25,610 F2: These securities are directly held by Silver Lake Technology Investors III Cayman, L.P. ("SLTI III Cayman"). F3: Silver Lake Technology Associates III Cayman, L.P. ("SLTA III Cayman") is the general partner of SLP III Cayman and SLTI III Cayman. Silver Lake (Offshore) AIV GP III, Ltd. is the general partner of SLTA III Cayman. F7: Messrs. Kenneth Hao and Ajay Shah each serves as a director of the Issuer, and Mr. Shah serves as Executive Chairman of the Board, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F8: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
Ordinary SharesSEC Table I · non-derivative	IndirectHeld through Silver Lake Sumeru Fund Cayman, L.P.	2,360,179	Last balance in matching sequence After 2021-01-07 transaction · row 6 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 5 · 2021-01-07 · Sale · Disposed 326,030 · Balance 2,722,435 F4: These securities are directly held by Silver Lake Sumeru Fund Cayman, L.P. ("SLS Cayman"). F6: Silver Lake Technology Associates Sumeru Cayman, L.P. ("SLTA Sumeru Cayman") is the general partner of SLS Cayman and SLTI Sumeru Cayman. SLTA Sumeru (GP) Cayman, L.P. ("SLTA Sumeru GP Cayman") is the general partner of SLTA Sumeru Cayman, and the general partner of SLTA Sumeru GP Cayman is Silver Lake Sumeru (Offshore) AIV GP, Ltd. ("SL Sumeru Offshore Ltd."). F7: Messrs. Kenneth Hao and Ajay Shah each serves as a director of the Issuer, and Mr. Shah serves as Executive Chairman of the Board, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F8: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Row 6 · 2021-01-07 · Sale · Disposed 362,256 · Balance 2,360,179 F4: These securities are directly held by Silver Lake Sumeru Fund Cayman, L.P. ("SLS Cayman"). F6: Silver Lake Technology Associates Sumeru Cayman, L.P. ("SLTA Sumeru Cayman") is the general partner of SLS Cayman and SLTI Sumeru Cayman. SLTA Sumeru (GP) Cayman, L.P. ("SLTA Sumeru GP Cayman") is the general partner of SLTA Sumeru Cayman, and the general partner of SLTA Sumeru GP Cayman is Silver Lake Sumeru (Offshore) AIV GP, Ltd. ("SL Sumeru Offshore Ltd."). F7: Messrs. Kenneth Hao and Ajay Shah each serves as a director of the Issuer, and Mr. Shah serves as Executive Chairman of the Board, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F8: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
Ordinary SharesSEC Table I · non-derivative	IndirectHeld through Silver Lake Technology Investors Sumeru Cayman, L.P.	28,738	Last balance in matching sequence After 2021-01-07 transaction · row 8 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 7 · 2021-01-07 · Sale · Disposed 3,970 · Balance 33,149 F5: These securities are directly held by Silver Lake Technology Investors Sumeru Cayman, L.P. ("SLTI Sumeru Cayman"). F6: Silver Lake Technology Associates Sumeru Cayman, L.P. ("SLTA Sumeru Cayman") is the general partner of SLS Cayman and SLTI Sumeru Cayman. SLTA Sumeru (GP) Cayman, L.P. ("SLTA Sumeru GP Cayman") is the general partner of SLTA Sumeru Cayman, and the general partner of SLTA Sumeru GP Cayman is Silver Lake Sumeru (Offshore) AIV GP, Ltd. ("SL Sumeru Offshore Ltd."). F7: Messrs. Kenneth Hao and Ajay Shah each serves as a director of the Issuer, and Mr. Shah serves as Executive Chairman of the Board, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F8: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Row 8 · 2021-01-07 · Sale · Disposed 4,411 · Balance 28,738 F5: These securities are directly held by Silver Lake Technology Investors Sumeru Cayman, L.P. ("SLTI Sumeru Cayman"). F6: Silver Lake Technology Associates Sumeru Cayman, L.P. ("SLTA Sumeru Cayman") is the general partner of SLS Cayman and SLTI Sumeru Cayman. SLTA Sumeru (GP) Cayman, L.P. ("SLTA Sumeru GP Cayman") is the general partner of SLTA Sumeru Cayman, and the general partner of SLTA Sumeru GP Cayman is Silver Lake Sumeru (Offshore) AIV GP, Ltd. ("SL Sumeru Offshore Ltd."). F7: Messrs. Kenneth Hao and Ajay Shah each serves as a director of the Issuer, and Mr. Shah serves as Executive Chairman of the Board, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F8: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: These securities are directly held by Silver Lake Partners III Cayman (AIV III), L.P. ("SLP III Cayman").

F2: These securities are directly held by Silver Lake Technology Investors III Cayman, L.P. ("SLTI III Cayman").

F3: Silver Lake Technology Associates III Cayman, L.P. ("SLTA III Cayman") is the general partner of SLP III Cayman and SLTI III Cayman. Silver Lake (Offshore) AIV GP III, Ltd. is the general partner of SLTA III Cayman.

F4: These securities are directly held by Silver Lake Sumeru Fund Cayman, L.P. ("SLS Cayman").

F5: These securities are directly held by Silver Lake Technology Investors Sumeru Cayman, L.P. ("SLTI Sumeru Cayman").

F6: Silver Lake Technology Associates Sumeru Cayman, L.P. ("SLTA Sumeru Cayman") is the general partner of SLS Cayman and SLTI Sumeru Cayman. SLTA Sumeru (GP) Cayman, L.P. ("SLTA Sumeru GP Cayman") is the general partner of SLTA Sumeru Cayman, and the general partner of SLTA Sumeru GP Cayman is Silver Lake Sumeru (Offshore) AIV GP, Ltd. ("SL Sumeru Offshore Ltd.").

F7: Messrs. Kenneth Hao and Ajay Shah each serves as a director of the Issuer, and Mr. Shah serves as Executive Chairman of the Board, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein.

F8: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.

Past disclosures · reporting ended (3)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Gen Digital Inc.

Report date September 13, 2022 · Filed September 15, 2022

Section 16 reporting ended · disclosed 2022-09-15. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	5,970	Ending reported balance After 2022-09-13 transaction · row 2 2 source rows · reconciled sequence Row 1 · 2022-09-13 · Grant · Acquired 5,010 · Balance 5,010 F1: In connection with the Reporting Person's service as a non-employee director of the Issuer, pursuant to the non-employee director grant policy, such Reporting Person has been granted restricted stock units. 100% of the restricted stock units vest on the grant date. Row 2 · 2022-09-13 · Grant · Acquired 960 · Balance 5,970 F2: Shares issued pursuant to the 2013 Equity Incentive Plan, as amended.
Common StockSEC Table I · non-derivative	IndirectSee footnote	79	Reported balance Holding disclosure · report date 2022-09-13 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 79 F3: Mr. Hao has an indirect pecuniary interest in these shares of the common stock held in a managed account through a broker-dealer.
Common StockSEC Table I · non-derivative	IndirectSee footnote	88,132	Reported balance Holding disclosure · report date 2022-09-13 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 88,132 F4: These securities are held by Mr. Hao for the benefit of Silver Lake Technology Management, L.L.C., certain of its affiliates and certain of the funds they manage ("Silver Lake"). Mr. Hao formerly served as a director of the Issuer. Pursuant to Mr. Hao's arrangement with Silver Lake with respect to director compensation, upon the sale of these securities, the proceeds from such sale(s) are expected to be remitted to Silver Lake and/or its limited partners. Mr. Hao, through his role at Silver Lake and its affiliates, may be deemed to have an indirect interest in these securities.

Filing footnotes · ownership attribution and instrument terms

F1: In connection with the Reporting Person's service as a non-employee director of the Issuer, pursuant to the non-employee director grant policy, such Reporting Person has been granted restricted stock units. 100% of the restricted stock units vest on the grant date.

F2: Shares issued pursuant to the 2013 Equity Incentive Plan, as amended.

F3: Mr. Hao has an indirect pecuniary interest in these shares of the common stock held in a managed account through a broker-dealer.

F4: These securities are held by Mr. Hao for the benefit of Silver Lake Technology Management, L.L.C., certain of its affiliates and certain of the funds they manage ("Silver Lake"). Mr. Hao formerly served as a director of the Issuer. Pursuant to Mr. Hao's arrangement with Silver Lake with respect to director compensation, upon the sale of these securities, the proceeds from such sale(s) are expected to be remitted to Silver Lake and/or its limited partners. Mr. Hao, through his role at Silver Lake and its affiliates, may be deemed to have an indirect interest in these securities.

SPLUNK INC

Report date March 18, 2024 · Filed March 20, 2024

Jointly reported with SLTA VI (GP), L.L.C., Silver Lake Group, L.L.C., Silver Lake Technology Associates VI, L.P., SLP VI Aggregator GP, L.L.C., SLP Spark Aggregator, L.P., SLP Spark GP, L.L.C., SLP Spark Holdings, L.P.

Section 16 reporting ended · disclosed 2024-03-20. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2024-03-18 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2024-03-18 · Disposition to issuer · Disposed 9,798 · Balance 0 F1: On March 18, 2024, pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), Spirit Merger Corp. merged with and into Splunk Inc. (the "Issuer"), with the Issuer continuing as the surviving corporation and a subsidiary of Cisco Systems, Inc. (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger, each share of common stock of the Issuer ("Common Stock") outstanding was converted into the right to receive $ 157.00 per share in cash, subject to any required tax withholding (the "Merger Consideration"). Each restricted stock unit held by a non-employee member of the board of directors of the Issuer was converted into the right to receive an amount in cash, without interest, equal to the product of the number of shares subject to such award multiplied by the Merger Consideration. Mr. Kenneth Hao resigned from the board of directors of the Issuer effective upon closing of the Merger. F2: Includes 1,616 restricted stock units which were canceled in connection with the Merger and converted into the right to receive an amount of cash equal to the product of the number of shares subject to such restricted stock unit multiplied by the Merger Consideration. F3: These securities were held by Mr. Hao for the benefit of Silver Lake Technology Management, L.L.C., certain of its affiliates, and certain of the funds they manage ("Silver Lake"). Mr. Hao served as a member of the board of directors of the Issuer. Pursuant to Mr. Hao's arrangement with Silver Lake with respect to director compensation, upon the sale of these securities, the proceeds from such sale(s) are expected to be remitted to Silver Lake and/or its limited partners.
Common StockSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2024-03-18 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2024-03-18 · Disposition to issuer · Disposed 15 · Balance 0 F1: On March 18, 2024, pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), Spirit Merger Corp. merged with and into Splunk Inc. (the "Issuer"), with the Issuer continuing as the surviving corporation and a subsidiary of Cisco Systems, Inc. (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger, each share of common stock of the Issuer ("Common Stock") outstanding was converted into the right to receive $ 157.00 per share in cash, subject to any required tax withholding (the "Merger Consideration"). Each restricted stock unit held by a non-employee member of the board of directors of the Issuer was converted into the right to receive an amount in cash, without interest, equal to the product of the number of shares subject to such award multiplied by the Merger Consideration. Mr. Kenneth Hao resigned from the board of directors of the Issuer effective upon closing of the Merger. F4: These securities are held by a trust for the benefit of Mr. Hao's family.
0.75% Convertible Senior Notes due 2026SEC Table II · derivative / convertible security	IndirectHeld through SLP Spark Holdings, L.P.	Not disclosed	Reported balance After 2024-03-18 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2024-03-18 · Disposition to issuer · Disposed Not disclosed · Balance Not disclosed F1: On March 18, 2024, pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), Spirit Merger Corp. merged with and into Splunk Inc. (the "Issuer"), with the Issuer continuing as the surviving corporation and a subsidiary of Cisco Systems, Inc. (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger, each share of common stock of the Issuer ("Common Stock") outstanding was converted into the right to receive $ 157.00 per share in cash, subject to any required tax withholding (the "Merger Consideration"). Each restricted stock unit held by a non-employee member of the board of directors of the Issuer was converted into the right to receive an amount in cash, without interest, equal to the product of the number of shares subject to such award multiplied by the Merger Consideration. Mr. Kenneth Hao resigned from the board of directors of the Issuer effective upon closing of the Merger. F5: Following the Merger, the 0.75% Convertible Senior Notes due 2026 ("Convertible Notes") are no longer convertible into shares of Common Stock, but instead automatically became convertible into an amount of cash equal to the product of the number of shares issuable upon conversion of the principal amount thereof, based on a conversion rate of 6.2500 per $1,000 principal amount of Convertible Notes (equivalent to a conversion price of approximately $160.00 per share of Common Stock), as adjusted pursuant to the terms of the Indenture governing the Convertible Notes to reflect the increase in the conversion rate applicable to the Convertible Notes surrendered in connection with a make-whole fundamental change, multiplied by the Merger Consideration. F6: The Convertible Notes mature on July 15, 2026, subject to earlier redemption, repurchase or conversion in accordance with their terms. On March 19, 2024 the Convertible Notes were converted and an aggregate of $832,376,320 and $208,094,080 were received by SLP Spark Holdings, L.P. and SLA Spark Holdings, L.P., respectively. F7: Represents securities held by SLP Spark Holdings, L.P. ("SLP Spark"). SLP Spark GP, L.L.C. ("SLP Spark GP") is the general partner of SLP Spark. SLP Spark Aggregator, L.P. ("SLP Aggregator") is the managing member of SLP Spark GP. SLP VI Aggregator GP, L.L.C. ("SLP VI GP") is the general partner of SLP Aggregator. Silver Lake Technology Associates VI, L.P. ("SLTA VI") is the managing member of SLP VI GP. SLTA VI (GP), L.L.C. ("SLTA VI GP") is the general partner of SLTA VI. F9: Silver Lake Group, L.L.C. ("SLG") is the managing member of each of SLTA VI and SLAA. Mr. Kenneth Hao served as a member of the board of directors of the Issuer and serves as Chairman and Managing Member of SLG. Each of SLP Spark, SLP Spark GP, SLP Aggregator, SLP VI GP, SLTA VI, SLTA VI GP, SLA Spark, SLA Spark GP, SLA Aggregator, SLA GP, SLAA, SLAA GP and SLG may have been deemed to be a director by deputization of the Issuer.
0.75% Convertible Senior Notes due 2026SEC Table II · derivative / convertible security	IndirectHeld through SLA Spark Holdings, L.P.	Not disclosed	Reported balance After 2024-03-18 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2024-03-18 · Disposition to issuer · Disposed Not disclosed · Balance Not disclosed F1: On March 18, 2024, pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), Spirit Merger Corp. merged with and into Splunk Inc. (the "Issuer"), with the Issuer continuing as the surviving corporation and a subsidiary of Cisco Systems, Inc. (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger, each share of common stock of the Issuer ("Common Stock") outstanding was converted into the right to receive $ 157.00 per share in cash, subject to any required tax withholding (the "Merger Consideration"). Each restricted stock unit held by a non-employee member of the board of directors of the Issuer was converted into the right to receive an amount in cash, without interest, equal to the product of the number of shares subject to such award multiplied by the Merger Consideration. Mr. Kenneth Hao resigned from the board of directors of the Issuer effective upon closing of the Merger. F5: Following the Merger, the 0.75% Convertible Senior Notes due 2026 ("Convertible Notes") are no longer convertible into shares of Common Stock, but instead automatically became convertible into an amount of cash equal to the product of the number of shares issuable upon conversion of the principal amount thereof, based on a conversion rate of 6.2500 per $1,000 principal amount of Convertible Notes (equivalent to a conversion price of approximately $160.00 per share of Common Stock), as adjusted pursuant to the terms of the Indenture governing the Convertible Notes to reflect the increase in the conversion rate applicable to the Convertible Notes surrendered in connection with a make-whole fundamental change, multiplied by the Merger Consideration. F6: The Convertible Notes mature on July 15, 2026, subject to earlier redemption, repurchase or conversion in accordance with their terms. On March 19, 2024 the Convertible Notes were converted and an aggregate of $832,376,320 and $208,094,080 were received by SLP Spark Holdings, L.P. and SLA Spark Holdings, L.P., respectively. F8: Represents securities held by SLA Spark Holdings, L.P. ("SLA Spark"). SLA Spark GP, L.L.C. ("SLA Spark GP") is the general partner of SLA Spark. SLA Spark Aggregator, L.P. ("SLA Aggregator") is the managing member of SLA Spark GP. SL Alpine Aggregator GP, L.L.C. ("SLA GP") is the general partner of SLA Aggregator. Silver Lake Alpine Associates, L.P. ("SLAA") is the managing member of SLA GP. SLAA (GP), L.L.C. ("SLAA GP") is the general partner of SLAA. F9: Silver Lake Group, L.L.C. ("SLG") is the managing member of each of SLTA VI and SLAA. Mr. Kenneth Hao served as a member of the board of directors of the Issuer and serves as Chairman and Managing Member of SLG. Each of SLP Spark, SLP Spark GP, SLP Aggregator, SLP VI GP, SLTA VI, SLTA VI GP, SLA Spark, SLA Spark GP, SLA Aggregator, SLA GP, SLAA, SLAA GP and SLG may have been deemed to be a director by deputization of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: On March 18, 2024, pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), Spirit Merger Corp. merged with and into Splunk Inc. (the "Issuer"), with the Issuer continuing as the surviving corporation and a subsidiary of Cisco Systems, Inc. (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger, each share of common stock of the Issuer ("Common Stock") outstanding was converted into the right to receive $ 157.00 per share in cash, subject to any required tax withholding (the "Merger Consideration"). Each restricted stock unit held by a non-employee member of the board of directors of the Issuer was converted into the right to receive an amount in cash, without interest, equal to the product of the number of shares subject to such award multiplied by the Merger Consideration. Mr. Kenneth Hao resigned from the board of directors of the Issuer effective upon closing of the Merger.

F2: Includes 1,616 restricted stock units which were canceled in connection with the Merger and converted into the right to receive an amount of cash equal to the product of the number of shares subject to such restricted stock unit multiplied by the Merger Consideration.

F3: These securities were held by Mr. Hao for the benefit of Silver Lake Technology Management, L.L.C., certain of its affiliates, and certain of the funds they manage ("Silver Lake"). Mr. Hao served as a member of the board of directors of the Issuer. Pursuant to Mr. Hao's arrangement with Silver Lake with respect to director compensation, upon the sale of these securities, the proceeds from such sale(s) are expected to be remitted to Silver Lake and/or its limited partners.

F4: These securities are held by a trust for the benefit of Mr. Hao's family.

F5: Following the Merger, the 0.75% Convertible Senior Notes due 2026 ("Convertible Notes") are no longer convertible into shares of Common Stock, but instead automatically became convertible into an amount of cash equal to the product of the number of shares issuable upon conversion of the principal amount thereof, based on a conversion rate of 6.2500 per $1,000 principal amount of Convertible Notes (equivalent to a conversion price of approximately $160.00 per share of Common Stock), as adjusted pursuant to the terms of the Indenture governing the Convertible Notes to reflect the increase in the conversion rate applicable to the Convertible Notes surrendered in connection with a make-whole fundamental change, multiplied by the Merger Consideration.

F6: The Convertible Notes mature on July 15, 2026, subject to earlier redemption, repurchase or conversion in accordance with their terms. On March 19, 2024 the Convertible Notes were converted and an aggregate of $832,376,320 and $208,094,080 were received by SLP Spark Holdings, L.P. and SLA Spark Holdings, L.P., respectively.

F7: Represents securities held by SLP Spark Holdings, L.P. ("SLP Spark"). SLP Spark GP, L.L.C. ("SLP Spark GP") is the general partner of SLP Spark. SLP Spark Aggregator, L.P. ("SLP Aggregator") is the managing member of SLP Spark GP. SLP VI Aggregator GP, L.L.C. ("SLP VI GP") is the general partner of SLP Aggregator. Silver Lake Technology Associates VI, L.P. ("SLTA VI") is the managing member of SLP VI GP. SLTA VI (GP), L.L.C. ("SLTA VI GP") is the general partner of SLTA VI.

F8: Represents securities held by SLA Spark Holdings, L.P. ("SLA Spark"). SLA Spark GP, L.L.C. ("SLA Spark GP") is the general partner of SLA Spark. SLA Spark Aggregator, L.P. ("SLA Aggregator") is the managing member of SLA Spark GP. SL Alpine Aggregator GP, L.L.C. ("SLA GP") is the general partner of SLA Aggregator. Silver Lake Alpine Associates, L.P. ("SLAA") is the managing member of SLA GP. SLAA (GP), L.L.C. ("SLAA GP") is the general partner of SLAA.

F9: Silver Lake Group, L.L.C. ("SLG") is the managing member of each of SLTA VI and SLAA. Mr. Kenneth Hao served as a member of the board of directors of the Issuer and serves as Chairman and Managing Member of SLG. Each of SLP Spark, SLP Spark GP, SLP Aggregator, SLP VI GP, SLTA VI, SLTA VI GP, SLA Spark, SLA Spark GP, SLA Aggregator, SLA GP, SLAA, SLAA GP and SLG may have been deemed to be a director by deputization of the Issuer.

SolarWinds Corp

Report date April 16, 2025 · Filed April 17, 2025

Jointly reported with SLTA IV (GP), L.L.C., Silver Lake Group, L.L.C., Silver Lake Technology Associates IV, L.P., Silver Lake Partners IV, L.P., Silver Lake Technology Investors IV, L.P., SLTA III (GP), L.L.C., Silver Lake Technology Investors III, L.P., SLP Aurora Co-Invest, L.P., SLP Denali Co-Invest GP, L.L.C.

Section 16 reporting ended · disclosed 2025-04-17. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnote	Reported balance After 2025-04-16 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2025-04-16 · Disposition to issuer · Disposed 239,310 · Balance 0 F1: On April 16, 2025, pursuant to the Agreement and Plan of Merger dated as of February 7, 2025, by and among Starlight Parent, LLC ("Parent"), Starlight Merger Sub, Inc. ("Merger Subsidiary"), and the Issuer, Merger Subsidiary merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Parent, and at the time of the Merger each issued and outstanding share of the Issuer's Common Stock, par value $0.001 per share (the "Shares"), owned by the Reporting Person was cancelled and converted into the right to receive $18.50 per share in cash without interest thereon. Messers. Hao and Widmann resigned from the board of directors of the Issuer effective upon closing of the Merger. F2: These securities were held by Kenneth Y. Hao and Michael Widmann, directors of the Issuer and executives of Silver Lake Group, L.L.C. ("SLG") and Jason White and Michael Bingle, former directors of the Issuer and executives of SLG, as part of the Issuer's director compensation program, for the benefit of one or more of the Reporting Persons and/or certain of their affiliates or certain of the funds they manage ("Silver Lake"). Pursuant to Silver Lake's policies with respect to director compensation, upon the sale of these securities, the proceeds from each sale will be expected to be remitted to Silver Lake and/or its limited partners.
Common StockSEC Table I · non-derivative	IndirectHeld through Silver Lake Partners IV, L.P.	Reported balance After 2025-04-16 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2025-04-16 · Disposition to issuer · Disposed 43,338,406 · Balance 0 F1: On April 16, 2025, pursuant to the Agreement and Plan of Merger dated as of February 7, 2025, by and among Starlight Parent, LLC ("Parent"), Starlight Merger Sub, Inc. ("Merger Subsidiary"), and the Issuer, Merger Subsidiary merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Parent, and at the time of the Merger each issued and outstanding share of the Issuer's Common Stock, par value $0.001 per share (the "Shares"), owned by the Reporting Person was cancelled and converted into the right to receive $18.50 per share in cash without interest thereon. Messers. Hao and Widmann resigned from the board of directors of the Issuer effective upon closing of the Merger. F3: These securities were directly held by Silver Lake Partners IV, L.P. ("SLP IV"). The general partner of SLP IV is Silver Lake Technology Associates IV, L.P. ("SLTA IV"), and the general partner of SLTA IV is SLTA IV (GP), L.L.C. ("SLTA IV GP"). F7: SLG is the managing member of SLTA III GP and SLTA IV GP. Messrs. Kenneth Y. Hao and Michael Widmann serve as directors of the Issuer and are executives of SLG. Each of SLP IV, SLTI IV, SLTA IV, SLTA IV GP, SLP Aurora, SLP Denali GP, SLTA III, SLTA III GP and SLG may be deemed to be a director by deputization of the Issuer. This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise, that the Reporting Persons are or were the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
Common StockSEC Table I · non-derivative	IndirectHeld through Silver Lake Technology Investors IV, L.P.	Reported balance After 2025-04-16 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2025-04-16 · Disposition to issuer · Disposed 712,321 · Balance 0 F1: On April 16, 2025, pursuant to the Agreement and Plan of Merger dated as of February 7, 2025, by and among Starlight Parent, LLC ("Parent"), Starlight Merger Sub, Inc. ("Merger Subsidiary"), and the Issuer, Merger Subsidiary merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Parent, and at the time of the Merger each issued and outstanding share of the Issuer's Common Stock, par value $0.001 per share (the "Shares"), owned by the Reporting Person was cancelled and converted into the right to receive $18.50 per share in cash without interest thereon. Messers. Hao and Widmann resigned from the board of directors of the Issuer effective upon closing of the Merger. F4: These securities were directly held by Silver Lake Technology Investors IV, L.P. ("SLTI IV"). The general partner of SLTI IV is SLTA IV, and the general partner of SLTA IV is SLTA IV GP. F7: SLG is the managing member of SLTA III GP and SLTA IV GP. Messrs. Kenneth Y. Hao and Michael Widmann serve as directors of the Issuer and are executives of SLG. Each of SLP IV, SLTI IV, SLTA IV, SLTA IV GP, SLP Aurora, SLP Denali GP, SLTA III, SLTA III GP and SLG may be deemed to be a director by deputization of the Issuer. This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise, that the Reporting Persons are or were the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
Common StockSEC Table I · non-derivative	IndirectHeld through SLP Aurora Co-Invest, L.P.	Reported balance After 2025-04-16 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 4 · 2025-04-16 · Disposition to issuer · Disposed 17,323,319 · Balance 0 F1: On April 16, 2025, pursuant to the Agreement and Plan of Merger dated as of February 7, 2025, by and among Starlight Parent, LLC ("Parent"), Starlight Merger Sub, Inc. ("Merger Subsidiary"), and the Issuer, Merger Subsidiary merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Parent, and at the time of the Merger each issued and outstanding share of the Issuer's Common Stock, par value $0.001 per share (the "Shares"), owned by the Reporting Person was cancelled and converted into the right to receive $18.50 per share in cash without interest thereon. Messers. Hao and Widmann resigned from the board of directors of the Issuer effective upon closing of the Merger. F5: These securities were directly held by SLP Aurora Co-Invest, L.P. ("SLP Aurora"). The general partner of SLP Aurora is SLP Denali Co-Invest GP, L.L.C. ("SLP Denali GP"). The managing member of SLP Denali GP is Silver Lake Technology Associates III, L.P. ("SLTA III"), and the general partner of SLTA III is SLTA III (GP), L.L.C. ("SLTA III GP"). F7: SLG is the managing member of SLTA III GP and SLTA IV GP. Messrs. Kenneth Y. Hao and Michael Widmann serve as directors of the Issuer and are executives of SLG. Each of SLP IV, SLTI IV, SLTA IV, SLTA IV GP, SLP Aurora, SLP Denali GP, SLTA III, SLTA III GP and SLG may be deemed to be a director by deputization of the Issuer. This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise, that the Reporting Persons are or were the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
Common StockSEC Table I · non-derivative	IndirectHeld through Silver Lake Technology Associates IV, L.P.	Reported balance After 2025-04-16 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 5 · 2025-04-16 · Disposition to issuer · Disposed 99,825 · Balance 0 F1: On April 16, 2025, pursuant to the Agreement and Plan of Merger dated as of February 7, 2025, by and among Starlight Parent, LLC ("Parent"), Starlight Merger Sub, Inc. ("Merger Subsidiary"), and the Issuer, Merger Subsidiary merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Parent, and at the time of the Merger each issued and outstanding share of the Issuer's Common Stock, par value $0.001 per share (the "Shares"), owned by the Reporting Person was cancelled and converted into the right to receive $18.50 per share in cash without interest thereon. Messers. Hao and Widmann resigned from the board of directors of the Issuer effective upon closing of the Merger. F6: These securities were directly held by SLTA IV. The general partner of SLTA IV is SLTA IV GP. SLTA IV directly holds such Shares and expects at a future date to distribute such Shares to certain direct and indirect partners of SLTA IV, for the sole purpose of charitable giving. F7: SLG is the managing member of SLTA III GP and SLTA IV GP. Messrs. Kenneth Y. Hao and Michael Widmann serve as directors of the Issuer and are executives of SLG. Each of SLP IV, SLTI IV, SLTA IV, SLTA IV GP, SLP Aurora, SLP Denali GP, SLTA III, SLTA III GP and SLG may be deemed to be a director by deputization of the Issuer. This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise, that the Reporting Persons are or were the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: On April 16, 2025, pursuant to the Agreement and Plan of Merger dated as of February 7, 2025, by and among Starlight Parent, LLC ("Parent"), Starlight Merger Sub, Inc. ("Merger Subsidiary"), and the Issuer, Merger Subsidiary merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Parent, and at the time of the Merger each issued and outstanding share of the Issuer's Common Stock, par value $0.001 per share (the "Shares"), owned by the Reporting Person was cancelled and converted into the right to receive $18.50 per share in cash without interest thereon. Messers. Hao and Widmann resigned from the board of directors of the Issuer effective upon closing of the Merger.

F2: These securities were held by Kenneth Y. Hao and Michael Widmann, directors of the Issuer and executives of Silver Lake Group, L.L.C. ("SLG") and Jason White and Michael Bingle, former directors of the Issuer and executives of SLG, as part of the Issuer's director compensation program, for the benefit of one or more of the Reporting Persons and/or certain of their affiliates or certain of the funds they manage ("Silver Lake"). Pursuant to Silver Lake's policies with respect to director compensation, upon the sale of these securities, the proceeds from each sale will be expected to be remitted to Silver Lake and/or its limited partners.

F3: These securities were directly held by Silver Lake Partners IV, L.P. ("SLP IV"). The general partner of SLP IV is Silver Lake Technology Associates IV, L.P. ("SLTA IV"), and the general partner of SLTA IV is SLTA IV (GP), L.L.C. ("SLTA IV GP").

F4: These securities were directly held by Silver Lake Technology Investors IV, L.P. ("SLTI IV"). The general partner of SLTI IV is SLTA IV, and the general partner of SLTA IV is SLTA IV GP.

F5: These securities were directly held by SLP Aurora Co-Invest, L.P. ("SLP Aurora"). The general partner of SLP Aurora is SLP Denali Co-Invest GP, L.L.C. ("SLP Denali GP"). The managing member of SLP Denali GP is Silver Lake Technology Associates III, L.P. ("SLTA III"), and the general partner of SLTA III is SLTA III (GP), L.L.C. ("SLTA III GP").

F6: These securities were directly held by SLTA IV. The general partner of SLTA IV is SLTA IV GP. SLTA IV directly holds such Shares and expects at a future date to distribute such Shares to certain direct and indirect partners of SLTA IV, for the sole purpose of charitable giving.

F7: SLG is the managing member of SLTA III GP and SLTA IV GP. Messrs. Kenneth Y. Hao and Michael Widmann serve as directors of the Issuer and are executives of SLG. Each of SLP IV, SLTI IV, SLTA IV, SLTA IV GP, SLP Aurora, SLP Denali GP, SLTA III, SLTA III GP and SLG may be deemed to be a director by deputization of the Issuer. This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise, that the Reporting Persons are or were the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.

Transaction history

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Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
December 04, 2017 Filed Dec 5, 2017 21:26 UTC	Penguin Solutions, Inc. SGH · Entity 4377	SaleOrdinary Shares	987,970	$32.10	$31,713,837.00	Disclosure SEC source: 0000899243-17-028005 · doc4.xml · nonDerivative · entry 3 Silver Lake (Offshore) AIV GP III, Ltd. · CIK 0001487793 · 10% owner Silver Lake Technology Associates III Cayman, L.P. · CIK 0001623274 · 10% owner Silver Lake Partners III Cayman (AIV III), L.P. · CIK 0001487788 · 10% owner Silver Lake Technology Investors III Cayman, L.P. · CIK 0001487789 · 10% owner DAVIDSON JAMES · CIK 0001181728 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Silver Lake Sumeru Fund Cayman, L.P. Disclosed balance after: 3,707,112 F1 · price: This amount represents a public offering price of $33.50 per share of Ordinary Shares, par value $0.03 per share, of SMART Global Holdings, Inc. (the "Issuer") less an underwriting discount of $1.40 per share for shares sold in an underwritten public offering. F5 · ownership.nature: These securities are directly held by Silver Lake Sumeru Fund Cayman, L.P. ("SLS Cayman"). F7 · ownership.nature: Silver Lake Technology Associates Sumeru Cayman, L.P. ("SLTA Sumeru Cayman") is the general partner of SLS Cayman and SLTI Sumeru Cayman. SLTA Sumeru (GP) Cayman, L.P. ("SLTA Sumeru GP Cayman") is the general partner of SLTA Sumeru Cayman, and the general partner of SLTA Sumeru GP Cayman is Silver Lake Sumeru (Offshore) AIV GP, Ltd. ("SL Sumeru Offshore Ltd."). F8 · ownership.nature: Messrs. Kenneth Hao, James Davidson, Ajay Shah and Paul Mercadante each serves as a director of the Issuer, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F9 · ownership.nature: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
December 04, 2017 Filed Dec 5, 2017 21:26 UTC	Penguin Solutions, Inc. SGH · Entity 4377	SaleOrdinary Shares	10,720	$32.10	$344,112.00	Disclosure SEC source: 0000899243-17-028005 · doc4.xml · nonDerivative · entry 2 Silver Lake (Offshore) AIV GP III, Ltd. · CIK 0001487793 · 10% owner Silver Lake Technology Associates III Cayman, L.P. · CIK 0001623274 · 10% owner Silver Lake Partners III Cayman (AIV III), L.P. · CIK 0001487788 · 10% owner Silver Lake Technology Investors III Cayman, L.P. · CIK 0001487789 · 10% owner DAVIDSON JAMES · CIK 0001181728 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Silver Lake Technology Investors III Cayman, L.P. Disclosed balance after: 40,224 F1 · price: This amount represents a public offering price of $33.50 per share of Ordinary Shares, par value $0.03 per share, of SMART Global Holdings, Inc. (the "Issuer") less an underwriting discount of $1.40 per share for shares sold in an underwritten public offering. F3 · ownership.nature: These securities are directly held by Silver Lake Technology Investors III Cayman, L.P. ("SLTI III Cayman"). F4 · ownership.nature: Silver Lake Technology Associates III Cayman, L.P. ("SLTA III Cayman") is the general partner of SLP III Cayman and SLTI III Cayman. Silver Lake (Offshore) AIV GP III, Ltd. is the general partner of SLTA III Cayman. F8 · ownership.nature: Messrs. Kenneth Hao, James Davidson, Ajay Shah and Paul Mercadante each serves as a director of the Issuer, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F9 · ownership.nature: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
December 04, 2017 Filed Dec 5, 2017 21:26 UTC	Penguin Solutions, Inc. SGH · Entity 4377	SaleOrdinary Shares	1,989,280	$32.10	$63,855,888.00	Disclosure SEC source: 0000899243-17-028005 · doc4.xml · nonDerivative · entry 1 Silver Lake (Offshore) AIV GP III, Ltd. · CIK 0001487793 · 10% owner Silver Lake Technology Associates III Cayman, L.P. · CIK 0001623274 · 10% owner Silver Lake Partners III Cayman (AIV III), L.P. · CIK 0001487788 · 10% owner Silver Lake Technology Investors III Cayman, L.P. · CIK 0001487789 · 10% owner DAVIDSON JAMES · CIK 0001181728 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Silver Lake Partners III Cayman (AIV III), L.P Disclosed balance after: 7,464,280 F1 · price: This amount represents a public offering price of $33.50 per share of Ordinary Shares, par value $0.03 per share, of SMART Global Holdings, Inc. (the "Issuer") less an underwriting discount of $1.40 per share for shares sold in an underwritten public offering. F2 · ownership.nature: These securities are directly held by Silver Lake Partners III Cayman (AIV III), L.P. ("SLP III Cayman"). F4 · ownership.nature: Silver Lake Technology Associates III Cayman, L.P. ("SLTA III Cayman") is the general partner of SLP III Cayman and SLTI III Cayman. Silver Lake (Offshore) AIV GP III, Ltd. is the general partner of SLTA III Cayman. F8 · ownership.nature: Messrs. Kenneth Hao, James Davidson, Ajay Shah and Paul Mercadante each serves as a director of the Issuer, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F9 · ownership.nature: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
May 30, 2017 Filed Jun 1, 2017 17:15 UTC	Penguin Solutions, Inc. SGH · Entity 4377	PurchaseOrdinary Shares	6,015	$11.00	$66,165.00	Disclosure SEC source: 0000899243-17-015002 · doc4.xml · nonDerivative · entry 4 Silver Lake (Offshore) AIV GP III, Ltd. · CIK 0001487793 · 10% owner Silver Lake Technology Associates III Cayman, L.P. · CIK 0001623274 · 10% owner Silver Lake Partners III Cayman (AIV III), L.P. · CIK 0001487788 · 10% owner Silver Lake Technology Investors III Cayman, L.P. · CIK 0001487789 · 10% owner DAVIDSON JAMES · CIK 0001181728 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Silver Lake Technology Investors Sumeru Cayman, L.P. Disclosed balance after: 57,169 F1 · price: These ordinary shares, par value $0.03 per share, of SMART Global Holdings, Inc. (the "Issuer") were purchased for $11.00 per share in connection with the initial public offering of the Issuer. F6 · ownership.nature: These securities are directly held by Silver Lake Technology Investors Sumeru Cayman, L.P. ("SLTI Sumeru Cayman"). F7 · ownership.nature: Silver Lake Technology Associates Sumeru Cayman, L.P. ("SLTA Sumeru Cayman") is the general partner of SLS Cayman and SLTI Sumeru Cayman. SLTA Sumeru (GP) Cayman, L.P. ("SLTA Sumeru GP Cayman") is the general partner of SLTA Sumeru Cayman, and the general partner of SLTA Sumeru GP Cayman is Silver Lake Sumeru (Offshore) AIV GP, Ltd. ("SL Sumeru Offshore Ltd."). F8 · ownership.nature: Messrs. Kenneth Hao, James Davidson, Ajay Shah and Paul Mercadante each serves as a director of the Issuer, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F9 · ownership.nature: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
May 30, 2017 Filed Jun 1, 2017 17:15 UTC	Penguin Solutions, Inc. SGH · Entity 4377	PurchaseOrdinary Shares	493,985	$11.00	$5,433,835.00	Disclosure SEC source: 0000899243-17-015002 · doc4.xml · nonDerivative · entry 3 Silver Lake (Offshore) AIV GP III, Ltd. · CIK 0001487793 · 10% owner Silver Lake Technology Associates III Cayman, L.P. · CIK 0001623274 · 10% owner Silver Lake Partners III Cayman (AIV III), L.P. · CIK 0001487788 · 10% owner Silver Lake Technology Investors III Cayman, L.P. · CIK 0001487789 · 10% owner DAVIDSON JAMES · CIK 0001181728 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Silver Lake Sumeru Fund Cayman, L.P. Disclosed balance after: 4,695,082 F1 · price: These ordinary shares, par value $0.03 per share, of SMART Global Holdings, Inc. (the "Issuer") were purchased for $11.00 per share in connection with the initial public offering of the Issuer. F5 · ownership.nature: These securities are directly held by Silver Lake Sumeru Fund Cayman, L.P. ("SLS Cayman"). F7 · ownership.nature: Silver Lake Technology Associates Sumeru Cayman, L.P. ("SLTA Sumeru Cayman") is the general partner of SLS Cayman and SLTI Sumeru Cayman. SLTA Sumeru (GP) Cayman, L.P. ("SLTA Sumeru GP Cayman") is the general partner of SLTA Sumeru Cayman, and the general partner of SLTA Sumeru GP Cayman is Silver Lake Sumeru (Offshore) AIV GP, Ltd. ("SL Sumeru Offshore Ltd."). F8 · ownership.nature: Messrs. Kenneth Hao, James Davidson, Ajay Shah and Paul Mercadante each serves as a director of the Issuer, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F9 · ownership.nature: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
May 30, 2017 Filed Jun 1, 2017 17:15 UTC	Penguin Solutions, Inc. SGH · Entity 4377	PurchaseOrdinary Shares	5,360	$11.00	$58,960.00	Disclosure SEC source: 0000899243-17-015002 · doc4.xml · nonDerivative · entry 2 Silver Lake (Offshore) AIV GP III, Ltd. · CIK 0001487793 · 10% owner Silver Lake Technology Associates III Cayman, L.P. · CIK 0001623274 · 10% owner Silver Lake Partners III Cayman (AIV III), L.P. · CIK 0001487788 · 10% owner Silver Lake Technology Investors III Cayman, L.P. · CIK 0001487789 · 10% owner DAVIDSON JAMES · CIK 0001181728 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Silver Lake Technology Investors III Cayman, L.P. Disclosed balance after: 50,944 F1 · price: These ordinary shares, par value $0.03 per share, of SMART Global Holdings, Inc. (the "Issuer") were purchased for $11.00 per share in connection with the initial public offering of the Issuer. F3 · ownership.nature: These securities are directly held by Silver Lake Technology Investors III Cayman, L.P. ("SLTI III Cayman"). F4 · ownership.nature: Silver Lake Technology Associates III Cayman, L.P. ("SLTA III Cayman") is the general partner of SLP III Cayman and SLTI III Cayman. Silver Lake (Offshore) AIV GP III, Ltd. is the general partner of SLTA III Cayman. F8 · ownership.nature: Messrs. Kenneth Hao, James Davidson, Ajay Shah and Paul Mercadante each serves as a director of the Issuer, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F9 · ownership.nature: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
May 30, 2017 Filed Jun 1, 2017 17:15 UTC	Penguin Solutions, Inc. SGH · Entity 4377	PurchaseOrdinary Shares	994,640	$11.00	$10,941,040.00	Disclosure SEC source: 0000899243-17-015002 · doc4.xml · nonDerivative · entry 1 Silver Lake (Offshore) AIV GP III, Ltd. · CIK 0001487793 · 10% owner Silver Lake Technology Associates III Cayman, L.P. · CIK 0001623274 · 10% owner Silver Lake Partners III Cayman (AIV III), L.P. · CIK 0001487788 · 10% owner Silver Lake Technology Investors III Cayman, L.P. · CIK 0001487789 · 10% owner DAVIDSON JAMES · CIK 0001181728 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Silver Lake Partners III Cayman (AIV III), L.P Disclosed balance after: 9,453,560 F1 · price: These ordinary shares, par value $0.03 per share, of SMART Global Holdings, Inc. (the "Issuer") were purchased for $11.00 per share in connection with the initial public offering of the Issuer. F2 · ownership.nature: These securities are directly held by Silver Lake Partners III Cayman (AIV III), L.P. ("SLP III Cayman"). F4 · ownership.nature: Silver Lake Technology Associates III Cayman, L.P. ("SLTA III Cayman") is the general partner of SLP III Cayman and SLTI III Cayman. Silver Lake (Offshore) AIV GP III, Ltd. is the general partner of SLTA III Cayman. F8 · ownership.nature: Messrs. Kenneth Hao, James Davidson, Ajay Shah and Paul Mercadante each serves as a director of the Issuer, and also each serves as a director of SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. and each may be deemed to beneficially own any securities beneficially owned by SL Sumeru Offshore Ltd. and/or Silver Lake (Offshore) AIV GP III, Ltd. but each disclaims beneficial ownership of such securities, except to the extent of his respective pecuniary interest therein. F9 · ownership.nature: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
May 15, 2017 Filed May 17, 2017 20:36 UTC	Gen Digital Inc. SYMC · Entity 2098	GrantCommon Stock	1,562	$32.00	$49,984.00	Disclosure SEC source: 0000899243-17-013521 · doc4.xml · nonDerivative · entry 2 Hao Kenneth · CIK 0001415357 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 29,339 F2 · shares: Shares issued pursuant to 2000 Director Equity Incentive Plan, as amended. F1 · ownership.nature: These securities are held by Mr. Hao for the benefit of Silver Lake Technology Management, L.L.C., certain of its affiliates and certain of the funds they manage ("Silver Lake"). Mr. Hao serves as a director of the Issuer. Pursuant to Mr. Hao's arrangement with Silver Lake with respect to director compensation, upon the sale of these securities, the proceeds from such sale(s) are expected to be remitted to Silver Lake and/or its limited partners. Mr. Hao, through his role at Silver Lake and its affiliates, may be deemed to have an indirect interest in these securities. Read SEC document
May 15, 2017 Filed May 17, 2017 20:36 UTC	Gen Digital Inc. SYMC · Entity 2098	GrantCommon Stock	8,593	$0.00	$0.00	Disclosure SEC source: 0000899243-17-013521 · doc4.xml · nonDerivative · entry 1 Hao Kenneth · CIK 0001415357 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 27,777 F1 · ownership.nature: These securities are held by Mr. Hao for the benefit of Silver Lake Technology Management, L.L.C., certain of its affiliates and certain of the funds they manage ("Silver Lake"). Mr. Hao serves as a director of the Issuer. Pursuant to Mr. Hao's arrangement with Silver Lake with respect to director compensation, upon the sale of these securities, the proceeds from such sale(s) are expected to be remitted to Silver Lake and/or its limited partners. Mr. Hao, through his role at Silver Lake and its affiliates, may be deemed to have an indirect interest in these securities. Read SEC document
April 05, 2017 Filed Apr 7, 2017 16:25 UTC	Broadcom Ltd AVGO · Entity 167990	GrantOrdinary Shares, no par value	906	$0.00	$0.00	Disclosure SEC source: 0000899243-17-009747 · doc4.xml · nonDerivative · entry 1 Hao Kenneth · CIK 0001415357 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 67,659 F1 · kind: Represents a grant of restricted stock units which, subject to Mr. Hao's continued service as a member of the board of directors through the vesting date, will vest in full on the earlier of April 5, 2018 or the date on which the annual general meeting of the Issuer shareholders immediately following the vesting commencement date is held. F2 · ownership.nature: These securities are held by Mr. Hao for the benefit of certain entities affiliated with Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") ("Silver Lake"). Mr. Hao serves as a director of the Issuer. Pursuant to Mr. Hao's arrangement with Silver Lake with respect to director compensation, upon the sale of these securities, the proceeds from such sale(s) are expected to be remitted to Silver Lake and/or its limited partners. Mr. Hao, through his role at Silver Lake and its affiliates, may be deemed to have an indirect interest in these securities. Mr. Hao is a director of AIV GP IV. Read SEC document
March 15, 2017 Filed Sep 15, 2017 18:00 UTC	Broadcom Ltd AVGO · Entity 167990	Exercise / conversionStock Option (Right to Buy) · Derivative	7,630	$0.00 Strike: $37.41	$0.00	Disclosure SEC source: 0000899243-17-022158 · doc4.xml · derivative · entry 5 Hao Kenneth · CIK 0001415357 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Ordinary Shares, no par value · 7,630 shares Expires 2017-04-03 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: Represents an exercise of a stock option scheduled to expire within a month of the date of exercise. Mr. Hao continues to hold the ordinary shares received upon exercise of the stock option, as described in footnote 2 below. F2 · ownership.nature: These securities are held by Mr. Hao for the benefit of certain entities affiliated with Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") ("Silver Lake"). Mr. Hao serves as a director of the Issuer. Pursuant to Mr. Hao's arrangement with Silver Lake with respect to director compensation, upon the sale of these securities, the proceeds from such sale(s) are expected to be remitted to Silver Lake and/or its limited partners. Mr. Hao, through his role at Silver Lake and its affiliates, may be deemed to have an indirect interest in these securities. Mr. Hao is a director of AIV GP IV. Read SEC document
March 15, 2017 Filed Sep 15, 2017 18:00 UTC	Broadcom Ltd AVGO · Entity 167990	Exercise / conversionOrdinary Shares, no par value	7,630	$37.41	$285,438.30	Disclosure SEC source: 0000899243-17-022158 · doc4.xml · nonDerivative · entry 1 Hao Kenneth · CIK 0001415357 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 75,289 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: Represents an exercise of a stock option scheduled to expire within a month of the date of exercise. Mr. Hao continues to hold the ordinary shares received upon exercise of the stock option, as described in footnote 2 below. F2 · ownership.nature: These securities are held by Mr. Hao for the benefit of certain entities affiliated with Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") ("Silver Lake"). Mr. Hao serves as a director of the Issuer. Pursuant to Mr. Hao's arrangement with Silver Lake with respect to director compensation, upon the sale of these securities, the proceeds from such sale(s) are expected to be remitted to Silver Lake and/or its limited partners. Mr. Hao, through his role at Silver Lake and its affiliates, may be deemed to have an indirect interest in these securities. Mr. Hao is a director of AIV GP IV. Read SEC document
February 21, 2017 Filed Feb 22, 2017 20:12 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	361	$213.24	$76,979.64	Disclosure SEC source: 0000899243-17-005018 · doc4.xml · nonDerivative · entry 8 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo II Ltd. Disclosed balance after: 30,830 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F5 · security: SLTI IV, as the sole shareholder of Argo II, SLTA IV Cayman, as the sole general partner of SLTI IV, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo II and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo II under Rule 16a-1(a)(2) of the Exchange Act. However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo II) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $213.055 to $213.59, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F6 · ownership.nature: These securities are directly held by Argo II. See footnote (5). Read SEC document
February 21, 2017 Filed Feb 22, 2017 20:12 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	7,740	$212.43	$1,644,208.20	Disclosure SEC source: 0000899243-17-005018 · doc4.xml · nonDerivative · entry 7 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo II Ltd. Disclosed balance after: 31,191 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F5 · security: SLTI IV, as the sole shareholder of Argo II, SLTA IV Cayman, as the sole general partner of SLTI IV, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo II and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo II under Rule 16a-1(a)(2) of the Exchange Act. However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo II) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $212.05 to $213.045, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F6 · ownership.nature: These securities are directly held by Argo II. See footnote (5). Read SEC document
February 21, 2017 Filed Feb 22, 2017 20:12 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	2,450	$211.57	$518,346.50	Disclosure SEC source: 0000899243-17-005018 · doc4.xml · nonDerivative · entry 6 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo II Ltd. Disclosed balance after: 38,931 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F5 · security: SLTI IV, as the sole shareholder of Argo II, SLTA IV Cayman, as the sole general partner of SLTI IV, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo II and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo II under Rule 16a-1(a)(2) of the Exchange Act. However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo II) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $211.046432 to $212.045, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F6 · ownership.nature: These securities are directly held by Argo II. See footnote (5). Read SEC document
February 21, 2017 Filed Feb 22, 2017 20:12 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	18,596	$213.24	$3,965,411.04	Disclosure SEC source: 0000899243-17-005018 · doc4.xml · nonDerivative · entry 5 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo I Ltd. Disclosed balance after: 1,587,737 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F2 · security: AIV II, as the sole shareholder of Argo I, SLTA IV Cayman, as the sole general partner of AIV II, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo I and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo I under Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo I) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $213.055 to $213.59, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F4 · ownership.nature: These securities are directly held by Argo I. See footnote (2). Read SEC document
February 21, 2017 Filed Feb 22, 2017 20:12 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	398,612	$212.43	$84,677,147.16	Disclosure SEC source: 0000899243-17-005018 · doc4.xml · nonDerivative · entry 4 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo I Ltd. Disclosed balance after: 1,606,333 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F2 · security: AIV II, as the sole shareholder of Argo I, SLTA IV Cayman, as the sole general partner of AIV II, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo I and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo I under Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo I) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $212.05 to $213.045, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F4 · ownership.nature: These securities are directly held by Argo I. See footnote (2). Read SEC document
February 21, 2017 Filed Feb 22, 2017 20:12 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	126,195	$211.57	$26,699,076.15	Disclosure SEC source: 0000899243-17-005018 · doc4.xml · nonDerivative · entry 3 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo I Ltd. Disclosed balance after: 2,004,945 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F2 · security: AIV II, as the sole shareholder of Argo I, SLTA IV Cayman, as the sole general partner of AIV II, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo I and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo I under Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo I) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $211.046432 to $212.045, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F4 · ownership.nature: These securities are directly held by Argo I. See footnote (2). Read SEC document
February 17, 2017 Filed Feb 22, 2017 20:12 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	8,496	$210.06	$1,784,669.76	Disclosure SEC source: 0000899243-17-005018 · doc4.xml · nonDerivative · entry 2 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo II Ltd. Disclosed balance after: 41,381 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F5 · security: SLTI IV, as the sole shareholder of Argo II, SLTA IV Cayman, as the sole general partner of SLTI IV, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo II and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo II under Rule 16a-1(a)(2) of the Exchange Act. However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo II) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $209.88 to $210.41, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F6 · ownership.nature: These securities are directly held by Argo II. See footnote (5). Read SEC document
February 17, 2017 Filed Feb 22, 2017 20:12 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	437,550	$210.06	$91,911,753.00	Disclosure SEC source: 0000899243-17-005018 · doc4.xml · nonDerivative · entry 1 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo I Ltd. Disclosed balance after: 2,131,140 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F2 · security: AIV II, as the sole shareholder of Argo I, SLTA IV Cayman, as the sole general partner of AIV II, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo I and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo I under Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo I) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $209.88 to $210.41, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F4 · ownership.nature: These securities are directly held by Argo I. See footnote (2). Read SEC document
January 25, 2017 Filed Jan 27, 2017 16:07 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	1,935	$202.22	$391,295.70	Disclosure SEC source: 0000899243-17-002095 · doc4.xml · nonDerivative · entry 6 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo II Ltd. Disclosed balance after: 49,877 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F7 · security: SLTI IV, as the sole shareholder of Argo II, SLTA IV Cayman, as the sole general partner of SLTI IV, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo II and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo II under Rule 16a-1(a)(2) of the Exchange Act. However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo II) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $201.88 to $202.54, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F8 · ownership.nature: These securities are directly held by Argo II. See footnote (7). Read SEC document
January 25, 2017 Filed Jan 27, 2017 16:07 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	4,437	$201.05	$892,058.85	Disclosure SEC source: 0000899243-17-002095 · doc4.xml · nonDerivative · entry 5 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo II Ltd. Disclosed balance after: 51,812 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F7 · security: SLTI IV, as the sole shareholder of Argo II, SLTA IV Cayman, as the sole general partner of SLTI IV, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo II and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo II under Rule 16a-1(a)(2) of the Exchange Act. However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo II) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $200.88 to $201.87, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F8 · ownership.nature: These securities are directly held by Argo II. See footnote (7). Read SEC document
January 25, 2017 Filed Jan 27, 2017 16:07 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	12,675	$200.44	$2,540,577.00	Disclosure SEC source: 0000899243-17-002095 · doc4.xml · nonDerivative · entry 4 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo II Ltd. Disclosed balance after: 56,249 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F7 · security: SLTI IV, as the sole shareholder of Argo II, SLTA IV Cayman, as the sole general partner of SLTI IV, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo II and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo II under Rule 16a-1(a)(2) of the Exchange Act. However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo II) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $199.88 to $200.8703, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F8 · ownership.nature: These securities are directly held by Argo II. See footnote (7). Read SEC document
January 25, 2017 Filed Jan 27, 2017 16:07 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	99,655	$202.22	$20,152,234.10	Disclosure SEC source: 0000899243-17-002095 · doc4.xml · nonDerivative · entry 3 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo I Ltd. Disclosed balance after: 2,568,690 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F2 · security: AIV II, as the sole shareholder of Argo I, SLTA IV Cayman, as the sole general partner of AIV II, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo I and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo I under Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo I) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $201.88 to $202.54, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F4 · ownership.nature: These securities are directly held by Argo I. See footnote (2). Read SEC document
January 25, 2017 Filed Jan 27, 2017 16:07 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	228,509	$201.05	$45,941,734.45	Disclosure SEC source: 0000899243-17-002095 · doc4.xml · nonDerivative · entry 2 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo I Ltd. Disclosed balance after: 2,668,345 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F2 · security: AIV II, as the sole shareholder of Argo I, SLTA IV Cayman, as the sole general partner of AIV II, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo I and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo I under Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo I) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $200.88 to $201.87, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F4 · ownership.nature: These securities are directly held by Argo I. See footnote (2). Read SEC document
January 25, 2017 Filed Jan 27, 2017 16:07 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	652,789	$200.44	$130,845,027.16	Disclosure SEC source: 0000899243-17-002095 · doc4.xml · nonDerivative · entry 1 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo I Ltd. Disclosed balance after: 2,896,854 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F2 · security: AIV II, as the sole shareholder of Argo I, SLTA IV Cayman, as the sole general partner of AIV II, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo I and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo I under Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo I) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $199.88 to $200.8703, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F4 · ownership.nature: These securities are directly held by Argo I. See footnote (2). Read SEC document
December 16, 2016 Filed Dec 16, 2016 16:09 UTC	Broadcom Ltd AVGO · Entity 167990	GiftOrdinary Shares, no par value	3,285	$0.00	$0.00	Disclosure SEC source: 0000899243-16-035764 · doc4.xml · nonDerivative · entry 6 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F8 · kind: Represents a charitable donation of ordinary shares of the Issuer by the Hao Family Trust u/a/d 10/12/99. F9 · ownership.nature: These securities are held by the Hao Family Trust u/a/d 10/12/99. Read SEC document
December 15, 2016 Filed Dec 16, 2016 16:09 UTC	Broadcom Ltd AVGO · Entity 167990	GiftOrdinary Shares, no par value	57	$0.00	$0.00	Disclosure SEC source: 0000899243-16-035764 · doc4.xml · nonDerivative · entry 5 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,285 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F8 · kind: Represents a charitable donation of ordinary shares of the Issuer by the Hao Family Trust u/a/d 10/12/99. F9 · ownership.nature: These securities are held by the Hao Family Trust u/a/d 10/12/99. Read SEC document
December 15, 2016 Filed Dec 16, 2016 16:09 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	7,003	$180.33	$1,262,850.99	Disclosure SEC source: 0000899243-16-035764 · doc4.xml · nonDerivative · entry 4 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo II Ltd. Disclosed balance after: 68,924 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F6 · security: SLTI IV, as the sole shareholder of Argo II, SLTA IV Cayman, as the sole general partner of SLTI IV, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo II and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo II under Rule 16a-1(a)(2) of the Exchange Act. However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo II) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.88 to $180.87, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F7 · ownership.nature: These securities are directly held by Argo II. See footnote (6). Read SEC document
December 15, 2016 Filed Dec 16, 2016 16:09 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	345	$180.96	$62,431.20	Disclosure SEC source: 0000899243-16-035764 · doc4.xml · nonDerivative · entry 3 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo II Ltd. Disclosed balance after: 75,927 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F6 · security: SLTI IV, as the sole shareholder of Argo II, SLTA IV Cayman, as the sole general partner of SLTI IV, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo II and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo II under Rule 16a-1(a)(2) of the Exchange Act. However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo II) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.88 to $181.20, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F7 · ownership.nature: These securities are directly held by Argo II. See footnote (6). Read SEC document
December 15, 2016 Filed Dec 16, 2016 16:09 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	360,691	$180.33	$65,043,408.03	Disclosure SEC source: 0000899243-16-035764 · doc4.xml · nonDerivative · entry 2 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo I Ltd. Disclosed balance after: 3,549,643 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F2 · security: AIV II, as the sole shareholder of Argo I, SLTA IV Cayman, as the sole general partner of AIV II, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo I and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo I under Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo I) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.88 to $180.87, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F4 · ownership.nature: These securities are directly held by Argo I. See footnote (2). Read SEC document
December 15, 2016 Filed Dec 16, 2016 16:09 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	17,758	$180.96	$3,213,487.68	Disclosure SEC source: 0000899243-16-035764 · doc4.xml · nonDerivative · entry 1 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo I Ltd. Disclosed balance after: 3,910,334 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F2 · security: AIV II, as the sole shareholder of Argo I, SLTA IV Cayman, as the sole general partner of AIV II, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo I and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo I under Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo I) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.88 to $181.20, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F4 · ownership.nature: These securities are directly held by Argo I. See footnote (2). Read SEC document
December 14, 2016 Filed Dec 15, 2016 21:18 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	2,239	$176.91	$396,101.49	Disclosure SEC source: 0000899243-16-035675 · doc4.xml · nonDerivative · entry 20 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo II Ltd. Disclosed balance after: 76,272 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F4 · security: SLTI IV, as the sole shareholder of Argo II, SLTA IV Cayman, as the sole general partner of SLTI IV, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo II and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo II under Rule 16a-1(a)(2) of the Exchange Act. However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo II) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F17 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $176.260 to $177.255, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F5 · ownership.nature: These securities are directly held by Argo II. See footnote (4). Read SEC document
December 14, 2016 Filed Dec 15, 2016 21:18 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	7,521	$177.68	$1,336,331.28	Disclosure SEC source: 0000899243-16-035675 · doc4.xml · nonDerivative · entry 19 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo II Ltd. Disclosed balance after: 78,511 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F4 · security: SLTI IV, as the sole shareholder of Argo II, SLTA IV Cayman, as the sole general partner of SLTI IV, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo II and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo II under Rule 16a-1(a)(2) of the Exchange Act. However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo II) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F16 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $177.260 to $178.255, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F5 · ownership.nature: These securities are directly held by Argo II. See footnote (4). Read SEC document
December 14, 2016 Filed Dec 15, 2016 21:18 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	1,939	$178.54	$346,189.06	Disclosure SEC source: 0000899243-16-035675 · doc4.xml · nonDerivative · entry 18 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo II Ltd. Disclosed balance after: 86,032 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F4 · security: SLTI IV, as the sole shareholder of Argo II, SLTA IV Cayman, as the sole general partner of SLTI IV, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo II and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo II under Rule 16a-1(a)(2) of the Exchange Act. However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo II) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F15 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $178.26 to $179.02, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F5 · ownership.nature: These securities are directly held by Argo II. See footnote (4). Read SEC document
December 14, 2016 Filed Dec 15, 2016 21:18 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	115,297	$176.91	$20,397,192.27	Disclosure SEC source: 0000899243-16-035675 · doc4.xml · nonDerivative · entry 17 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo I Ltd. Disclosed balance after: 3,928,092 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F2 · security: AIV II, as the sole shareholder of Argo I, SLTA IV Cayman, as the sole general partner of AIV II, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo I and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo I under Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo I) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F17 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $176.260 to $177.255, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: These securities are directly held by Argo I. See footnote (2). Read SEC document
December 14, 2016 Filed Dec 15, 2016 21:18 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	387,358	$177.68	$68,825,769.44	Disclosure SEC source: 0000899243-16-035675 · doc4.xml · nonDerivative · entry 16 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo I Ltd. Disclosed balance after: 4,043,389 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F2 · security: AIV II, as the sole shareholder of Argo I, SLTA IV Cayman, as the sole general partner of AIV II, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo I and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo I under Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo I) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F16 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $177.260 to $178.255, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: These securities are directly held by Argo I. See footnote (2). Read SEC document
December 14, 2016 Filed Dec 15, 2016 21:18 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	99,849	$178.54	$17,827,040.46	Disclosure SEC source: 0000899243-16-035675 · doc4.xml · nonDerivative · entry 15 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo I Ltd. Disclosed balance after: 4,430,747 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F2 · security: AIV II, as the sole shareholder of Argo I, SLTA IV Cayman, as the sole general partner of AIV II, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo I and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo I under Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo I) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F15 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $178.26 to $179.02, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: These securities are directly held by Argo I. See footnote (2). Read SEC document
December 13, 2016 Filed Dec 15, 2016 21:18 UTC	Broadcom Ltd AVGO · Entity 167990	GiftOrdinary Shares, no par value	26,000	$0.00	$0.00	Disclosure SEC source: 0000899243-16-035675 · doc4.xml · nonDerivative · entry 14 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,342 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F13 · kind: Represents a charitable donation of ordinary shares of the Issuer by the Hao Family Trust u/a/d 10/12/99. These ordinary shares of the Issuer were received by the Hao Family Trust u/a/d 10/12/99 in connection with the distributions reported above and the receipt of such shares was exempt from reporting pursuant to Rule 16a-13 of the Exchange Act. F14 · ownership.nature: These securities are held by the Hao Family Trust u/a/d 10/12/99. Read SEC document
December 13, 2016 Filed Dec 15, 2016 21:18 UTC	Broadcom Ltd AVGO · Entity 167990	OtherOrdinary Shares, no par value	26,000	$0.00	$0.00	Disclosure SEC source: 0000899243-16-035675 · doc4.xml · nonDerivative · entry 13 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F12 · kind: Represents a distribution by SLTA IV Cayman of ordinary shares of the Issuer to the Hao Family Trust u/a/d 10/12/99. These ordinary shares of the Issuer were received by SLTA IV Cayman in connection with the distributions described in footnotes (10) and (11) above and the receipt of such shares was exempt from reporting pursuant to Rule 16a-13 of the Exchange Act. F12 · price: Represents a distribution by SLTA IV Cayman of ordinary shares of the Issuer to the Hao Family Trust u/a/d 10/12/99. These ordinary shares of the Issuer were received by SLTA IV Cayman in connection with the distributions described in footnotes (10) and (11) above and the receipt of such shares was exempt from reporting pursuant to Rule 16a-13 of the Exchange Act. F12 · ownership.nature: Represents a distribution by SLTA IV Cayman of ordinary shares of the Issuer to the Hao Family Trust u/a/d 10/12/99. These ordinary shares of the Issuer were received by SLTA IV Cayman in connection with the distributions described in footnotes (10) and (11) above and the receipt of such shares was exempt from reporting pursuant to Rule 16a-13 of the Exchange Act. Read SEC document
December 13, 2016 Filed Dec 15, 2016 21:18 UTC	Broadcom Ltd AVGO · Entity 167990	OtherOrdinary Shares, no par value	26,000	$0.00	$0.00	Disclosure SEC source: 0000899243-16-035675 · doc4.xml · nonDerivative · entry 12 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F11 · kind: Represents a distribution by AIV II of ordinary shares of the Issuer to SLTA IV Cayman, its sole general partner. These ordinary shares of the Issuer were received by AIV II in connection with the distribution described in footnote (10) above and the receipt of such shares was exempt from reporting pursuant to Rule 16a-13 of the Exchange Act. F11 · price: Represents a distribution by AIV II of ordinary shares of the Issuer to SLTA IV Cayman, its sole general partner. These ordinary shares of the Issuer were received by AIV II in connection with the distribution described in footnote (10) above and the receipt of such shares was exempt from reporting pursuant to Rule 16a-13 of the Exchange Act. F11 · ownership.nature: Represents a distribution by AIV II of ordinary shares of the Issuer to SLTA IV Cayman, its sole general partner. These ordinary shares of the Issuer were received by AIV II in connection with the distribution described in footnote (10) above and the receipt of such shares was exempt from reporting pursuant to Rule 16a-13 of the Exchange Act. Read SEC document
December 13, 2016 Filed Dec 15, 2016 21:18 UTC	Broadcom Ltd AVGO · Entity 167990	OtherOrdinary Shares, no par value	26,000	$0.00	$0.00	Disclosure SEC source: 0000899243-16-035675 · doc4.xml · nonDerivative · entry 11 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo I Ltd. Disclosed balance after: 4,530,596 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F2 · security: AIV II, as the sole shareholder of Argo I, SLTA IV Cayman, as the sole general partner of AIV II, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo I and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo I under Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo I) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F10 · kind: Represents a distribution by Argo I of ordinary shares of the Issuer to AIV II, its sole shareholder. F10 · price: Represents a distribution by Argo I of ordinary shares of the Issuer to AIV II, its sole shareholder. F3 · ownership.nature: These securities are directly held by Argo I. See footnote (2). Read SEC document
December 13, 2016 Filed Dec 15, 2016 21:18 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	1,922	$178.72	$343,499.84	Disclosure SEC source: 0000899243-16-035675 · doc4.xml · nonDerivative · entry 10 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo II Ltd. Disclosed balance after: 87,971 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F4 · security: SLTI IV, as the sole shareholder of Argo II, SLTA IV Cayman, as the sole general partner of SLTI IV, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo II and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo II under Rule 16a-1(a)(2) of the Exchange Act. However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo II) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $178.00 to $178.99, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F5 · ownership.nature: These securities are directly held by Argo II. See footnote (4). Read SEC document
December 13, 2016 Filed Dec 15, 2016 21:18 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	6,767	$179.51	$1,214,744.17	Disclosure SEC source: 0000899243-16-035675 · doc4.xml · nonDerivative · entry 9 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo II Ltd. Disclosed balance after: 89,893 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F4 · security: SLTI IV, as the sole shareholder of Argo II, SLTA IV Cayman, as the sole general partner of SLTI IV, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo II and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo II under Rule 16a-1(a)(2) of the Exchange Act. However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo II) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.000 to $179.995, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F5 · ownership.nature: These securities are directly held by Argo II. See footnote (4). Read SEC document
December 13, 2016 Filed Dec 15, 2016 21:18 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	8,875	$180.27	$1,599,896.25	Disclosure SEC source: 0000899243-16-035675 · doc4.xml · nonDerivative · entry 8 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo II Ltd. Disclosed balance after: 96,660 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F4 · security: SLTI IV, as the sole shareholder of Argo II, SLTA IV Cayman, as the sole general partner of SLTI IV, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo II and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo II under Rule 16a-1(a)(2) of the Exchange Act. However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo II) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.00 to $180.99, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F5 · ownership.nature: These securities are directly held by Argo II. See footnote (4). Read SEC document
December 13, 2016 Filed Dec 15, 2016 21:18 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	1,483	$181.39	$269,001.37	Disclosure SEC source: 0000899243-16-035675 · doc4.xml · nonDerivative · entry 7 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo II Ltd. Disclosed balance after: 105,535 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F4 · security: SLTI IV, as the sole shareholder of Argo II, SLTA IV Cayman, as the sole general partner of SLTI IV, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo II and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo II under Rule 16a-1(a)(2) of the Exchange Act. However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo II) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $181.00 to $181.94, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F5 · ownership.nature: These securities are directly held by Argo II. See footnote (4). Read SEC document
December 13, 2016 Filed Dec 15, 2016 21:18 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	98,991	$178.72	$17,691,671.52	Disclosure SEC source: 0000899243-16-035675 · doc4.xml · nonDerivative · entry 6 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo I Ltd. Disclosed balance after: 4,556,596 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F2 · security: AIV II, as the sole shareholder of Argo I, SLTA IV Cayman, as the sole general partner of AIV II, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo I and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo I under Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo I) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $178.00 to $178.99, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: These securities are directly held by Argo I. See footnote (2). Read SEC document
December 13, 2016 Filed Dec 15, 2016 21:18 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	348,492	$179.51	$62,557,798.92	Disclosure SEC source: 0000899243-16-035675 · doc4.xml · nonDerivative · entry 5 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo I Ltd. Disclosed balance after: 4,655,587 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F2 · security: AIV II, as the sole shareholder of Argo I, SLTA IV Cayman, as the sole general partner of AIV II, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo I and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo I under Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo I) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.000 to $179.995, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: These securities are directly held by Argo I. See footnote (2). Read SEC document
December 13, 2016 Filed Dec 15, 2016 21:18 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	457,086	$180.27	$82,398,893.22	Disclosure SEC source: 0000899243-16-035675 · doc4.xml · nonDerivative · entry 4 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo I Ltd. Disclosed balance after: 5,004,079 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F2 · security: AIV II, as the sole shareholder of Argo I, SLTA IV Cayman, as the sole general partner of AIV II, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo I and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo I under Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo I) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.00 to $180.99, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: These securities are directly held by Argo I. See footnote (2). Read SEC document
December 13, 2016 Filed Dec 15, 2016 21:18 UTC	Broadcom Ltd AVGO · Entity 167990	SaleOrdinary Shares, no par value	76,384	$181.39	$13,855,293.76	Disclosure SEC source: 0000899243-16-035675 · doc4.xml · nonDerivative · entry 3 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director Silver Lake Partners IV Cayman (AIV II), L.P. · CIK 0001607380 · Director Silver Lake Technology Investors IV Cayman, L.P. · CIK 0001607255 · Director SLP Argo I Ltd. · CIK 0001606815 · Director SLP Argo II Ltd. · CIK 0001606817 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP Argo I Ltd. Disclosed balance after: 5,461,165 F1 · security: This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer. F2 · security: AIV II, as the sole shareholder of Argo I, SLTA IV Cayman, as the sole general partner of AIV II, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo I and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo I under Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo I) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $181.00 to $181.94, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: These securities are directly held by Argo I. See footnote (2). 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.