Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Broadcom Inc.AVGO · Entity 2789 | CFO & Chief Accounting Officer | March 16, 2026 | March 19, 2026 |
| Broadcom LtdAVGO · Entity 167990 | Principal Accounting Officer | March 27, 2018 | March 28, 2018 |
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 March 16, 2026 · Filed March 19, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 387,794 |
Reported balance
After 2026-03-16 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-03-16 · Sale · Disposed 120 · Balance 387,794 F1: Shares were sold through automatic transactions to cover withholding taxes due upon vesting of restricted stock units (RSUs) as required under the relevant RSU awards. The prices reported in column 4 above reflect the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the ranges set forth in the following footnotes. F2: Transaction executed in multiple trades at prices ranging from $321.18 to $321.61 per share. F3: Includes 90,000 RSUs. F4: Includes 37 shares acquired under the Issuer 's Employee Stock Purchase Plan on March 13, 2026. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 386,624 |
Reported balance
After 2026-03-16 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2026-03-16 · Sale · Disposed 1,170 · Balance 386,624 F1: Shares were sold through automatic transactions to cover withholding taxes due upon vesting of restricted stock units (RSUs) as required under the relevant RSU awards. The prices reported in column 4 above reflect the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the ranges set forth in the following footnotes. F5: Transaction executed in multiple trades at prices ranging from $322.28 to $323.24 per share. F3: Includes 90,000 RSUs. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 384,230 |
Reported balance
After 2026-03-16 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2026-03-16 · Sale · Disposed 2,394 · Balance 384,230 F1: Shares were sold through automatic transactions to cover withholding taxes due upon vesting of restricted stock units (RSUs) as required under the relevant RSU awards. The prices reported in column 4 above reflect the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the ranges set forth in the following footnotes. F6: Transaction executed in multiple trades at prices ranging from $323.29 to $324.28 per share. F3: Includes 90,000 RSUs. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 379,067 |
Reported balance
After 2026-03-16 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2026-03-16 · Sale · Disposed 5,163 · Balance 379,067 F1: Shares were sold through automatic transactions to cover withholding taxes due upon vesting of restricted stock units (RSUs) as required under the relevant RSU awards. The prices reported in column 4 above reflect the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the ranges set forth in the following footnotes. F7: Transaction executed in multiple trades at prices ranging from $324.29 to $325.27 per share. F3: Includes 90,000 RSUs. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 375,291 |
Reported balance
After 2026-03-16 transaction · row 5
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 5 · 2026-03-16 · Sale · Disposed 3,776 · Balance 375,291 F1: Shares were sold through automatic transactions to cover withholding taxes due upon vesting of restricted stock units (RSUs) as required under the relevant RSU awards. The prices reported in column 4 above reflect the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the ranges set forth in the following footnotes. F8: Transaction executed in multiple trades at prices ranging from $325.29 to $326.28 per share. F3: Includes 90,000 RSUs. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 371,986 |
Reported balance
After 2026-03-16 transaction · row 6
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 6 · 2026-03-16 · Sale · Disposed 3,305 · Balance 371,986 F1: Shares were sold through automatic transactions to cover withholding taxes due upon vesting of restricted stock units (RSUs) as required under the relevant RSU awards. The prices reported in column 4 above reflect the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the ranges set forth in the following footnotes. F9: Transaction executed in multiple trades at prices ranging from $326.29 to $327.24 per share. F3: Includes 90,000 RSUs. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 366,839 |
Reported balance
After 2026-03-16 transaction · row 7
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 7 · 2026-03-16 · Sale · Disposed 5,147 · Balance 366,839 F1: Shares were sold through automatic transactions to cover withholding taxes due upon vesting of restricted stock units (RSUs) as required under the relevant RSU awards. The prices reported in column 4 above reflect the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the ranges set forth in the following footnotes. F10: Transaction executed in multiple trades at prices ranging from $327.29 to $328.28 per share. F3: Includes 90,000 RSUs. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 364,052 |
Reported balance
After 2026-03-16 transaction · row 8
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 8 · 2026-03-16 · Sale · Disposed 2,787 · Balance 364,052 F1: Shares were sold through automatic transactions to cover withholding taxes due upon vesting of restricted stock units (RSUs) as required under the relevant RSU awards. The prices reported in column 4 above reflect the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the ranges set forth in the following footnotes. F11: Transaction executed in multiple trades at prices ranging from $328.29 to $329.11 per share. F3: Includes 90,000 RSUs. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 360,337 |
Reported balance
After 2026-03-17 transaction · row 9
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 9 · 2026-03-17 · Sale · Disposed 3,715 · Balance 360,337 F1: Shares were sold through automatic transactions to cover withholding taxes due upon vesting of restricted stock units (RSUs) as required under the relevant RSU awards. The prices reported in column 4 above reflect the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the ranges set forth in the following footnotes. F12: Transaction executed in multiple trades at prices ranging from $317.51 to $318.50 per share. F3: Includes 90,000 RSUs. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 357,047 |
Reported balance
After 2026-03-17 transaction · row 10
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 10 · 2026-03-17 · Sale · Disposed 3,290 · Balance 357,047 F1: Shares were sold through automatic transactions to cover withholding taxes due upon vesting of restricted stock units (RSUs) as required under the relevant RSU awards. The prices reported in column 4 above reflect the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the ranges set forth in the following footnotes. F13: Transaction executed in multiple trades at prices ranging from $318.51 to $319.50 per share. F3: Includes 90,000 RSUs. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 350,443 |
Reported balance
After 2026-03-17 transaction · row 11
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 11 · 2026-03-17 · Sale · Disposed 6,604 · Balance 350,443 F1: Shares were sold through automatic transactions to cover withholding taxes due upon vesting of restricted stock units (RSUs) as required under the relevant RSU awards. The prices reported in column 4 above reflect the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the ranges set forth in the following footnotes. F14: Transaction executed in multiple trades at prices ranging from $319.54 to $320.53 per share. F3: Includes 90,000 RSUs. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 345,553 |
Reported balance
After 2026-03-17 transaction · row 12
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 12 · 2026-03-17 · Sale · Disposed 4,890 · Balance 345,553 F1: Shares were sold through automatic transactions to cover withholding taxes due upon vesting of restricted stock units (RSUs) as required under the relevant RSU awards. The prices reported in column 4 above reflect the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the ranges set forth in the following footnotes. F15: Transaction executed in multiple trades at prices ranging from $320.54 to $321.52 per share. F3: Includes 90,000 RSUs. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 340,264 |
Reported balance
After 2026-03-17 transaction · row 13
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 13 · 2026-03-17 · Sale · Disposed 5,289 · Balance 340,264 F1: Shares were sold through automatic transactions to cover withholding taxes due upon vesting of restricted stock units (RSUs) as required under the relevant RSU awards. The prices reported in column 4 above reflect the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the ranges set forth in the following footnotes. F16: Transaction executed in multiple trades at prices ranging from $321.55 to $322.53 per share. F3: Includes 90,000 RSUs. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 335,009 |
Reported balance
After 2026-03-17 transaction · row 14
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 14 · 2026-03-17 · Sale · Disposed 5,255 · Balance 335,009 F1: Shares were sold through automatic transactions to cover withholding taxes due upon vesting of restricted stock units (RSUs) as required under the relevant RSU awards. The prices reported in column 4 above reflect the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the ranges set forth in the following footnotes. F17: Transaction executed in multiple trades at prices ranging from $322.55 to $323.54 per share. F3: Includes 90,000 RSUs. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 332,951 |
Reported balance
After 2026-03-17 transaction · row 15
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 15 · 2026-03-17 · Sale · Disposed 2,058 · Balance 332,951 F1: Shares were sold through automatic transactions to cover withholding taxes due upon vesting of restricted stock units (RSUs) as required under the relevant RSU awards. The prices reported in column 4 above reflect the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the ranges set forth in the following footnotes. F18: Transaction executed in multiple trades at prices ranging from $323.56 to $324.55 per share. F3: Includes 90,000 RSUs. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 329,919 |
Reported balance
After 2026-03-17 transaction · row 16
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 16 · 2026-03-17 · Sale · Disposed 3,032 · Balance 329,919 F1: Shares were sold through automatic transactions to cover withholding taxes due upon vesting of restricted stock units (RSUs) as required under the relevant RSU awards. The prices reported in column 4 above reflect the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the ranges set forth in the following footnotes. F19: Transaction executed in multiple trades at prices ranging from $324.57 to $325.53 per share. F3: Includes 90,000 RSUs. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 328,240 |
Reported balance
After 2026-03-17 transaction · row 17
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 17 · 2026-03-17 · Sale · Disposed 1,679 · Balance 328,240 F1: Shares were sold through automatic transactions to cover withholding taxes due upon vesting of restricted stock units (RSUs) as required under the relevant RSU awards. The prices reported in column 4 above reflect the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the ranges set forth in the following footnotes. F20: Transaction executed in multiple trades at prices ranging from $325.58 to $326.53 per share. F3: Includes 90,000 RSUs. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 327,760 |
Reported balance
After 2026-03-17 transaction · row 18
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 18 · 2026-03-17 · Sale · Disposed 480 · Balance 327,760 F1: Shares were sold through automatic transactions to cover withholding taxes due upon vesting of restricted stock units (RSUs) as required under the relevant RSU awards. The prices reported in column 4 above reflect the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the ranges set forth in the following footnotes. F21: Transaction executed in multiple trades at prices ranging from $326.58 to $327.01 per share. F3: Includes 90,000 RSUs. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares were sold through automatic transactions to cover withholding taxes due upon vesting of restricted stock units (RSUs) as required under the relevant RSU awards. The prices reported in column 4 above reflect the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the ranges set forth in the following footnotes.
F2: Transaction executed in multiple trades at prices ranging from $321.18 to $321.61 per share.
F3: Includes 90,000 RSUs.
F4: Includes 37 shares acquired under the Issuer 's Employee Stock Purchase Plan on March 13, 2026.
F5: Transaction executed in multiple trades at prices ranging from $322.28 to $323.24 per share.
F6: Transaction executed in multiple trades at prices ranging from $323.29 to $324.28 per share.
F7: Transaction executed in multiple trades at prices ranging from $324.29 to $325.27 per share.
F8: Transaction executed in multiple trades at prices ranging from $325.29 to $326.28 per share.
F9: Transaction executed in multiple trades at prices ranging from $326.29 to $327.24 per share.
F10: Transaction executed in multiple trades at prices ranging from $327.29 to $328.28 per share.
F11: Transaction executed in multiple trades at prices ranging from $328.29 to $329.11 per share.
F12: Transaction executed in multiple trades at prices ranging from $317.51 to $318.50 per share.
F13: Transaction executed in multiple trades at prices ranging from $318.51 to $319.50 per share.
F14: Transaction executed in multiple trades at prices ranging from $319.54 to $320.53 per share.
F15: Transaction executed in multiple trades at prices ranging from $320.54 to $321.52 per share.
F16: Transaction executed in multiple trades at prices ranging from $321.55 to $322.53 per share.
F17: Transaction executed in multiple trades at prices ranging from $322.55 to $323.54 per share.
F18: Transaction executed in multiple trades at prices ranging from $323.56 to $324.55 per share.
F19: Transaction executed in multiple trades at prices ranging from $324.57 to $325.53 per share.
F20: Transaction executed in multiple trades at prices ranging from $325.58 to $326.53 per share.
F21: Transaction executed in multiple trades at prices ranging from $326.58 to $327.01 per share.
Broadcom Ltd
Report date March 27, 2018 · Filed March 28, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary Shares, no par valueSEC Table I · non-derivative | Direct | 26,854 |
Reported balance
After 2018-03-27 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-03-27 · Sale · Disposed 5,000 · Balance 26,854 F1: Includes 24,125 Restricted Share Units. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 24,125 Restricted Share Units.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 17, 2017 Filed Mar 21, 2017 00:48 UTC | Broadcom Ltd AVGO · Entity 167990 | SaleOrdinary Shares, no par value | 1,994 | $222.07 | $442,815.56 |
DisclosureSEC source: 0001649338-17-000064 · wf-form4_149005728276107.xml · nonDerivative · entry 4 Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,157 F5 · shares: Shares sold by the Reporting Person pursuant to mandatory sale provisions of the relevant RSU grants, including the Performance RSU, requiring the sale of sufficient shares to cover withholding taxes due upon vesting of RSUs. F3 · balance_after: Includes 25,524 RSUs and 56 shares acquired under the Issuer's Employee Stock Purchase Plan on March 14, 2017. Read SEC document |
| March 16, 2017 Filed Mar 21, 2017 00:48 UTC | Broadcom Ltd AVGO · Entity 167990 | SaleOrdinary Shares, no par value | 1,990 | $222.44 | $442,645.65 |
DisclosureSEC source: 0001649338-17-000064 · wf-form4_149005728276107.xml · nonDerivative · entry 3 Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,151 F5 · shares: Shares sold by the Reporting Person pursuant to mandatory sale provisions of the relevant RSU grants, including the Performance RSU, requiring the sale of sufficient shares to cover withholding taxes due upon vesting of RSUs. F3 · balance_after: Includes 25,524 RSUs and 56 shares acquired under the Issuer's Employee Stock Purchase Plan on March 14, 2017. Read SEC document |
| March 15, 2017 Filed Mar 21, 2017 00:48 UTC | Broadcom Ltd AVGO · Entity 167990 | Exercise / conversionPerformance Based Restricted Stock Units · Derivative | 2,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001649338-17-000064 · wf-form4_149005728276107.xml · derivative · entry 6 Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Ordinary Shares, no par value · 2,000 shares Expires 2020-03-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · shares: Performance RSU granted pursuant to the 2009 Avago Plan on March 15, 2016. The Performance RSU is scheduled to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU will be fully vested on March 15, 2020; provided, however, that no portion of the Performance RSU may vest unless the Price Contingency has been met. On January 5, 2017, the Price Contingency was met, and on March 15, 2017, the first 25% of the Performance RSU vested. F4 · derivative.exercise_date: Performance RSU granted pursuant to the 2009 Avago Plan on March 15, 2016. The Performance RSU is scheduled to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU will be fully vested on March 15, 2020; provided, however, that no portion of the Performance RSU may vest unless the Price Contingency has been met. On January 5, 2017, the Price Contingency was met, and on March 15, 2017, the first 25% of the Performance RSU vested. Read SEC document |
| March 15, 2017 Filed Mar 21, 2017 00:48 UTC | Broadcom Ltd AVGO · Entity 167990 | Exercise / conversionPerformance Based Restricted Stock Units · Derivative | 1,750 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001649338-17-000064 · wf-form4_149005728276107.xml · derivative · entry 5 Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,500 Underlying: Ordinary Shares, no par value · 1,750 shares Expires 2019-03-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Shares vested pursuant to a share price performance restricted share unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan ("2009 Avago Plan") on March 15, 2015. The Performance RSU is scheduled to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU will be fully vested on March 15, 2019; provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's ordinary shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's ordinary shares on the date of grant (the "Price Contingency"). On April 1, 2016, the Price Contingency was met, and on March 15, 2017, the second 25% of the Performance RSU vested. F1 · derivative.exercise_date: Shares vested pursuant to a share price performance restricted share unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan ("2009 Avago Plan") on March 15, 2015. The Performance RSU is scheduled to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU will be fully vested on March 15, 2019; provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's ordinary shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's ordinary shares on the date of grant (the "Price Contingency"). On April 1, 2016, the Price Contingency was met, and on March 15, 2017, the second 25% of the Performance RSU vested. Read SEC document |
| March 15, 2017 Filed Mar 21, 2017 00:48 UTC | Broadcom Ltd AVGO · Entity 167990 | Exercise / conversionOrdinary Shares, no par value | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001649338-17-000064 · wf-form4_149005728276107.xml · nonDerivative · entry 2 Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,141 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · shares: Performance RSU granted pursuant to the 2009 Avago Plan on March 15, 2016. The Performance RSU is scheduled to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU will be fully vested on March 15, 2020; provided, however, that no portion of the Performance RSU may vest unless the Price Contingency has been met. On January 5, 2017, the Price Contingency was met, and on March 15, 2017, the first 25% of the Performance RSU vested. F2 · price: Each Performance RSU represents the right to receive, at settlement, one ordinary share of the Issuer. This transaction represents the settlement of the Performance RSU in the Issuer's ordinary shares on the scheduled vesting date. F3 · balance_after: Includes 25,524 RSUs and 56 shares acquired under the Issuer's Employee Stock Purchase Plan on March 14, 2017. Read SEC document |
| March 15, 2017 Filed Mar 21, 2017 00:48 UTC | Broadcom Ltd AVGO · Entity 167990 | Exercise / conversionOrdinary Shares, no par value | 1,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001649338-17-000064 · wf-form4_149005728276107.xml · nonDerivative · entry 1 Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,141 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Shares vested pursuant to a share price performance restricted share unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan ("2009 Avago Plan") on March 15, 2015. The Performance RSU is scheduled to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU will be fully vested on March 15, 2019; provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's ordinary shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's ordinary shares on the date of grant (the "Price Contingency"). On April 1, 2016, the Price Contingency was met, and on March 15, 2017, the second 25% of the Performance RSU vested. F2 · price: Each Performance RSU represents the right to receive, at settlement, one ordinary share of the Issuer. This transaction represents the settlement of the Performance RSU in the Issuer's ordinary shares on the scheduled vesting date. F3 · balance_after: Includes 25,524 RSUs and 56 shares acquired under the Issuer's Employee Stock Purchase Plan on March 14, 2017. Read SEC document |
| March 13, 2017 Filed Mar 14, 2017 22:49 UTC | Broadcom Ltd AVGO · Entity 167990 | Exercise / conversionStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $71.86 | $0.00 |
DisclosureSEC source: 0001649338-17-000044 · wf-form4_148953174922848.xml · derivative · entry 9 Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Ordinary Shares, no par value · 15,000 shares Expires 2021-06-09 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. F5 · derivative.exercise_date: Share price performance option (the "2014 Option") granted pursuant to the Avago Plan. The 2014 Option vests over four years, with 25% vesting on each anniversary of the date of grant, such that the 2014 Option will be fully vested on June 10, 2018. The exercisability requirements for the 2014 Option have been met. Read SEC document |
| March 13, 2017 Filed Mar 14, 2017 22:49 UTC | Broadcom Ltd AVGO · Entity 167990 | Exercise / conversionStock Option (Right to Buy) · Derivative | 1,502 | $0.00 Strike: $62.63 | $0.00 |
DisclosureSEC source: 0001649338-17-000044 · wf-form4_148953174922848.xml · derivative · entry 8 Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 750 Underlying: Ordinary Shares, no par value · 1,502 shares Expires 2021-03-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: Option to purchase ordinary shares of the Company, granted pursuant to the LSI Corporation 2003 Equity Incentive Plan, assumed by the Company upon the closing of its acquisition of LSI on May 6, 2014 (the "LSI Plan"). The option vests over 4 years, with one-fourth vesting on March 1 of each of 2015, 2016, 2017, 2018, subject to the Reporting Person's continuing service on each vesting date. Read SEC document |
| March 13, 2017 Filed Mar 14, 2017 22:49 UTC | Broadcom Ltd AVGO · Entity 167990 | Exercise / conversionStock Option (Right to Buy) · Derivative | 1,650 | $0.00 Strike: $38.92 | $0.00 |
DisclosureSEC source: 0001649338-17-000044 · wf-form4_148953174922848.xml · derivative · entry 7 Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares, no par value · 1,650 shares Expires 2020-03-01 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. F3 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| March 13, 2017 Filed Mar 14, 2017 22:49 UTC | Broadcom Ltd AVGO · Entity 167990 | Exercise / conversionStock Option (Right to Buy) · Derivative | 717 | $0.00 Strike: $48.18 | $0.00 |
DisclosureSEC source: 0001649338-17-000044 · wf-form4_148953174922848.xml · derivative · entry 6 Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares, no par value · 717 shares Expires 2019-03-01 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. F3 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| March 13, 2017 Filed Mar 14, 2017 22:49 UTC | Broadcom Ltd AVGO · Entity 167990 | SaleOrdinary Shares, no par value | 21,272 | $225.97 | $4,806,876.38 |
DisclosureSEC source: 0001649338-17-000044 · wf-form4_148953174922848.xml · nonDerivative · entry 5 Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,335 F2 · price: Transaction executed in multiple trades at prices ranging from $225.78 to $226.32 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F1 · balance_after: Includes 29,274 Restricted Share Units. Read SEC document |
| March 13, 2017 Filed Mar 14, 2017 22:49 UTC | Broadcom Ltd AVGO · Entity 167990 | Exercise / conversionOrdinary Shares, no par value | 15,000 | $71.86 | $1,077,900.00 |
DisclosureSEC source: 0001649338-17-000044 · wf-form4_148953174922848.xml · nonDerivative · entry 4 Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,607 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 · balance_after: Includes 29,274 Restricted Share Units. Read SEC document |
| March 13, 2017 Filed Mar 14, 2017 22:49 UTC | Broadcom Ltd AVGO · Entity 167990 | Exercise / conversionOrdinary Shares, no par value | 1,502 | $62.63 | $94,070.26 |
DisclosureSEC source: 0001649338-17-000044 · wf-form4_148953174922848.xml · nonDerivative · entry 3 Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,607 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 · balance_after: Includes 29,274 Restricted Share Units. Read SEC document |
| March 13, 2017 Filed Mar 14, 2017 22:49 UTC | Broadcom Ltd AVGO · Entity 167990 | Exercise / conversionOrdinary Shares, no par value | 1,650 | $38.92 | $64,218.00 |
DisclosureSEC source: 0001649338-17-000044 · wf-form4_148953174922848.xml · nonDerivative · entry 2 Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,105 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 · balance_after: Includes 29,274 Restricted Share Units. Read SEC document |
| March 13, 2017 Filed Mar 14, 2017 22:49 UTC | Broadcom Ltd AVGO · Entity 167990 | Exercise / conversionOrdinary Shares, no par value | 717 | $48.18 | $34,545.06 |
DisclosureSEC source: 0001649338-17-000044 · wf-form4_148953174922848.xml · nonDerivative · entry 1 Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,455 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 · balance_after: Includes 29,274 Restricted Share Units. Read SEC document |
| March 03, 2017 Filed Mar 8, 2017 01:07 UTC | Broadcom Ltd AVGO · Entity 167990 | GrantOrdinary Shares, no par value | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001649338-17-000021 · wf-form4_148893523164058.xml · nonDerivative · entry 1 Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,738 F1 · date: Award approved on March 3, 2017 with an effective grant date of March 15, 2017. F2 · shares: Grant of Restricted Share Units ("RSUs") pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan (the "Avago Plan"). Upon vesting thereof, the Reporting Person is entitled to one (1) Ordinary Share for each one (1) RSU. The RSUs vest as to 25% of the shares subject thereto on each annual anniversary of March 15, 2017. F3 · balance_after: Includes 29,274 RSUs. Read SEC document |
| March 02, 2017 Filed Mar 3, 2017 23:34 UTC | Broadcom Ltd AVGO · Entity 167990 | SaleOrdinary Shares, no par value | 520 | $220.10 | $114,451.48 |
DisclosureSEC source: 0001649338-17-000008 · wf-form4_148858408378005.xml · nonDerivative · entry 1 Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,238 F1 · shares: Shares sold by the Reporting Person pursuant to mandatory sale provisions of the relevant restricted share unit ("RSU") grant requiring the sale of sufficient shares to cover withholding taxes due upon vesting of RSUs. F2 · balance_after: Includes 21,774 RSUs. Read SEC document |
| December 16, 2016 Filed Dec 19, 2016 23:20 UTC | Broadcom Ltd AVGO · Entity 167990 | SaleOrdinary Shares, no par value | 2,000 | $179.03 | $358,060.00 |
DisclosureSEC source: 0001649338-16-000141 · wf-form4_148218961512299.xml · nonDerivative · entry 1 Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,758 F1 · price: Transaction executed in multiple trades at prices ranging from $178.98 to $179.04 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F2 · balance_after: Represents 23,139 Restricted Share Units. Read SEC document |
| December 06, 2016 Filed Dec 8, 2016 23:22 UTC | Broadcom Ltd AVGO · Entity 167990 | GrantOrdinary Shares, no par value | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001649338-16-000122 · wf-form4_148123935760192.xml · nonDerivative · entry 1 Spears Kirsten M. · CIK 0001670725 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,758 F1 · date: Award approved on December 6, 2016 with an effective grant date of December 15, 2016. F2 · shares: Grant of Restricted Share Units ("RSUs") pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan (the "Avago Plan"). Upon vesting thereof, the Reporting Person is entitled to one (1) Ordinary Share for each one (1) RSU. The RSUs vest as to 25% of the shares subject thereto on each annual anniversary of December 15, 2016. F3 · balance_after: Includes 23,139 RSUs and 61 shares acquired under the Issuer's Employee Stock Purchase Plan on September 14, 2016. 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.