Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Broadcom Inc.AVGO · Entity 2789 | President of Broadcom SW Group | March 15, 2022 | March 17, 2022 |
| Broadcom LtdAVGO · Entity 167990 | Chief Financial Officer | March 20, 2018 | March 21, 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 15, 2022 · Filed March 17, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 50,823 |
Reported balance
After 2022-03-15 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-03-15 · Tax withholding · Disposed 13,137 · Balance 50,823 F1: Consists of shares withheld by the Issuer to satisfy the tax withholding obligations of the Reporting Person upon the vesting of the relevant restricted stock units ("RSUs"), including performance stock units awards, previously granted to the Reporting Person. F2: Includes 36,960 RSUs. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 37,025 |
Reported balance
After 2022-03-16 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2022-03-16 · Sale · Disposed 13,798 · Balance 37,025 F3: Transaction executed in multiple trades at prices ranging from $585.02 to $585.98 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: Includes 36,960 RSUs. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 36,960 |
Reported balance
After 2022-03-16 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2022-03-16 · Sale · Disposed 65 · Balance 36,960 F4: Represents 36,960 RSUs. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of shares withheld by the Issuer to satisfy the tax withholding obligations of the Reporting Person upon the vesting of the relevant restricted stock units ("RSUs"), including performance stock units awards, previously granted to the Reporting Person.
F2: Includes 36,960 RSUs.
F3: Transaction executed in multiple trades at prices ranging from $585.02 to $585.98 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
F4: Represents 36,960 RSUs.
Broadcom Ltd
Report date March 20, 2018 · Filed March 21, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary Shares, no par valueSEC Table I · non-derivative | Direct | 67,062 |
Reported balance
After 2018-03-20 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-03-20 · Sale · Disposed 4,103 · Balance 67,062 F1: Shares sold by the Reporting Person pursuant to mandatory sale provisions of the relevant restricted share unit ("RSUs") grants, including the performance share unit ("PSUs") grants, requiring the sale of sufficient shares to cover withholding taxes due upon vesting of RSUs and PSUs. F2: Includes 41,125 RSUs. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares sold by the Reporting Person pursuant to mandatory sale provisions of the relevant restricted share unit ("RSUs") grants, including the performance share unit ("PSUs") grants, requiring the sale of sufficient shares to cover withholding taxes due upon vesting of RSUs and PSUs.
F2: Includes 41,125 RSUs.
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 16, 2022 Filed Mar 17, 2022 17:02 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 65 | $586.11 | $38,097.15 |
DisclosureSEC source: 0001730168-22-000042 · wf-form4_164755095927152.xml · nonDerivative · entry 3 Krause Thomas H. · CIK 0001670643 · President of Broadcom SW Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,960 F4 · balance_after: Represents 36,960 RSUs. Read SEC document |
| March 16, 2022 Filed Mar 17, 2022 17:02 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 13,798 | $585.29 | $8,075,831.42 |
DisclosureSEC source: 0001730168-22-000042 · wf-form4_164755095927152.xml · nonDerivative · entry 2 Krause Thomas H. · CIK 0001670643 · President of Broadcom SW Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,025 F3 · price: Transaction executed in multiple trades at prices ranging from $585.02 to $585.98 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F2 · balance_after: Includes 36,960 RSUs. Read SEC document |
| March 15, 2022 Filed Mar 17, 2022 17:02 UTC | Broadcom Inc. AVGO · Entity 2789 | Tax withholdingCommon Stock, $0.001 par value | 13,137 | $592.76 | $7,787,088.12 |
DisclosureSEC source: 0001730168-22-000042 · wf-form4_164755095927152.xml · nonDerivative · entry 1 Krause Thomas H. · CIK 0001670643 · President of Broadcom SW Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,823 F1 · shares: Consists of shares withheld by the Issuer to satisfy the tax withholding obligations of the Reporting Person upon the vesting of the relevant restricted stock units ("RSUs"), including performance stock units awards, previously granted to the Reporting Person. F2 · balance_after: Includes 36,960 RSUs. Read SEC document |
| March 02, 2022 Filed Mar 4, 2022 16:57 UTC | Broadcom Inc. AVGO · Entity 2789 | GrantCommon Stock, $0.001 par value | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001730168-22-000021 · wf-form4_164643103951582.xml · nonDerivative · entry 4 Krause Thomas H. · CIK 0001670643 · President of Broadcom SW Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,960 F7 · shares: On March 2, 2022, the Compensation Committee of the Issuer determined the achievement of certain performance criteria, based on the Issuer's TSR relative to the S&P 500 Index, and the number of RSUs that will vest with respect to the fourth and final performance period pursuant to the terms of a PSU award granted on March 15, 2018, under the 2009 Avago Plan. The RSUs are subject to time-based vesting conditions and will vest in full on March 15, 2022, subject to the Reporting Person's continued service through such date. Upon vesting thereof, the Reporting Person is entitled to one (1) share of common stock for each one (1) RSU. F8 · balance_after: Includes 63,960 RSUs. Read SEC document |
| March 02, 2022 Filed Mar 4, 2022 16:57 UTC | Broadcom Inc. AVGO · Entity 2789 | GrantCommon Stock, $0.001 par value | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001730168-22-000021 · wf-form4_164643103951582.xml · nonDerivative · entry 3 Krause Thomas H. · CIK 0001670643 · President of Broadcom SW Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,960 F5 · shares: On March 2, 2022, the Compensation Committee of the Issuer determined the achievement of certain performance criteria, based on the Issuer's TSR relative to the S&P 500 Index, and the number of RSUs that will vest with respect to the third of four performance periods pursuant to the terms of a PSU award granted on January 15, 2019 under the 2009 Avago Plan. The RSUs are subject to time-based vesting conditions and will vest in full on March 15, 2022, subject to the Reporting Person's continued service through such date. Upon vesting thereof, the Reporting Person is entitled to one (1) share of common stock for each one (1) RSU. F6 · balance_after: Represents 53,960 RSUs. Read SEC document |
| March 02, 2022 Filed Mar 4, 2022 16:57 UTC | Broadcom Inc. AVGO · Entity 2789 | GrantCommon Stock, $0.001 par value | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001730168-22-000021 · wf-form4_164643103951582.xml · nonDerivative · entry 2 Krause Thomas H. · CIK 0001670643 · President of Broadcom SW Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,460 F3 · shares: On March 2, 2022, the Compensation Committee of the Issuer determined the achievement of certain performance criteria, based on the Issuer's TSR relative to the S&P 500 Index, and the number of RSUs that will vest with respect to the second of four performance periods pursuant to the terms of a PSU award granted on January 15, 2019, under the 2009 Avago Plan. The RSUs are subject to time-based vesting conditions and will vest in full on March 15, 2022, subject to the Reporting Person's continued service through such date. Upon vesting thereof, the Reporting Person is entitled to one (1) share of common stock for each one (1) RSU. F4 · balance_after: Represents 51,460 RSUs. Read SEC document |
| March 02, 2022 Filed Mar 4, 2022 16:57 UTC | Broadcom Inc. AVGO · Entity 2789 | GrantCommon Stock, $0.001 par value | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001730168-22-000021 · wf-form4_164643103951582.xml · nonDerivative · entry 1 Krause Thomas H. · CIK 0001670643 · President of Broadcom SW Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,960 F1 · shares: On March 2, 2022, the Compensation Committee of the Issuer determined the achievement of certain performance criteria, based on the Issuer's compound annual total stockholder return ("TSR") relative to the S&P 500 Index, and the number of restricted stock units ("RSUs") that will vest with respect to the first of four performance periods pursuant to the terms of a performance stock unit award ("PSU award") granted on January 15, 2019, under the Avago Technologies Limited 2009 Equity Incentive Award Plan ("2009 Avago Plan"). The RSUs are subject to time-based vesting conditions and will vest in full on March 15, 2022, subject to the Reporting Person's continued service through such date. Upon vesting thereof, the Reporting Person is entitled to one (1) share of common stock for each one (1) RSU. F2 · balance_after: Represents 48,960 RSUs. Read SEC document |
| December 16, 2021 Filed Dec 17, 2021 17:15 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 3,645 | $632.84 | $2,306,701.80 |
DisclosureSEC source: 0001730168-21-000159 · wf-form4_163977931455988.xml · nonDerivative · entry 2 Krause Thomas H. · CIK 0001670643 · President of Broadcom SW Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,460 F3 · balance_after: Represents 46,460 RSUs. Read SEC document |
| December 15, 2021 Filed Dec 17, 2021 17:15 UTC | Broadcom Inc. AVGO · Entity 2789 | Tax withholdingCommon Stock, $0.001 par value | 3,585 | $639.86 | $2,293,898.10 |
DisclosureSEC source: 0001730168-21-000159 · wf-form4_163977931455988.xml · nonDerivative · entry 1 Krause Thomas H. · CIK 0001670643 · President of Broadcom SW Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,105 F1 · shares: Consists of shares withheld by the Issuer to satisfy the tax withholding obligations of the Reporting Person upon the vesting of the relevant restricted stock units ("RSUs") previously granted to the Reporting Person. F2 · balance_after: Includes 46,460 RSUs. Read SEC document |
| April 05, 2021 Filed Apr 7, 2021 17:49 UTC | Broadcom Inc. AVGO · Entity 2789 | GrantCommon Stock, $0.001 par value | 17,940 | $0.00 | $0.00 |
DisclosureSEC source: 0001730168-21-000089 · wf-form4_161783215879895.xml · nonDerivative · entry 1 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,690 F1 · date: Award approved on December 8, 2020, subject to stockholder approval of the Broadcom Inc. 2012 Stock Incentive Plan (amended and restated on April 5, 2021) (the "2012 Plan"), with an effective grant date of April 5, 2021. F2 · shares: Award of Restricted Stock Units ("RSUs") granted pursuant to the 2012 Plan. Upon vesting thereof, the Reporting Person is entitled to one (1) share of common stock for each one (1) RSU. The RSUs vest over a three-year period, with one-third of the RSUs vesting on each anniversary of December 15, 2020, subject to continued service with the Issuer. F3 · balance_after: Represents 53,690 RSUs. Read SEC document |
| March 16, 2021 Filed Mar 17, 2021 17:49 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 200 | $483.67 | $96,734.00 |
DisclosureSEC source: 0001730168-21-000053 · wf-form4_161601775080879.xml · nonDerivative · entry 16 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,750 F17 · price: Transaction executed in multiple trades at prices ranging from $483.54 to $483.80 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F4 · balance_after: Includes 35,750 RSUs. Read SEC document |
| March 16, 2021 Filed Mar 17, 2021 17:49 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 2,132 | $482.57 | $1,028,847.77 |
DisclosureSEC source: 0001730168-21-000053 · wf-form4_161601775080879.xml · nonDerivative · entry 15 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,950 F16 · price: Transaction executed in multiple trades at prices ranging from $482.42 to $483.35 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F4 · balance_after: Includes 35,750 RSUs. Read SEC document |
| March 16, 2021 Filed Mar 17, 2021 17:49 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 3,026 | $481.85 | $1,458,078.10 |
DisclosureSEC source: 0001730168-21-000053 · wf-form4_161601775080879.xml · nonDerivative · entry 14 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,082 F15 · price: Transaction executed in multiple trades at prices ranging from $481.35 to $482.33 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F4 · balance_after: Includes 35,750 RSUs. Read SEC document |
| March 16, 2021 Filed Mar 17, 2021 17:49 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 1,600 | $480.70 | $769,120.00 |
DisclosureSEC source: 0001730168-21-000053 · wf-form4_161601775080879.xml · nonDerivative · entry 13 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,108 F14 · price: Transaction executed in multiple trades at prices ranging from $480.30 to $481.29 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F4 · balance_after: Includes 35,750 RSUs. Read SEC document |
| March 16, 2021 Filed Mar 17, 2021 17:49 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 2,170 | $479.96 | $1,041,521.88 |
DisclosureSEC source: 0001730168-21-000053 · wf-form4_161601775080879.xml · nonDerivative · entry 12 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,708 F13 · price: Transaction executed in multiple trades at prices ranging from $479.27 to $480.26 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F4 · balance_after: Includes 35,750 RSUs. Read SEC document |
| March 16, 2021 Filed Mar 17, 2021 17:49 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 1,711 | $478.66 | $818,983.84 |
DisclosureSEC source: 0001730168-21-000053 · wf-form4_161601775080879.xml · nonDerivative · entry 11 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,878 F12 · price: Transaction executed in multiple trades at prices ranging from $478.26 to $479.14 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F4 · balance_after: Includes 35,750 RSUs. Read SEC document |
| March 16, 2021 Filed Mar 17, 2021 17:49 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 1,354 | $477.73 | $646,846.42 |
DisclosureSEC source: 0001730168-21-000053 · wf-form4_161601775080879.xml · nonDerivative · entry 10 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,589 F11 · price: Transaction executed in multiple trades at prices ranging from $477.25 to $478.22 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F4 · balance_after: Includes 35,750 RSUs. Read SEC document |
| March 16, 2021 Filed Mar 17, 2021 17:49 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 1,226 | $476.80 | $584,559.25 |
DisclosureSEC source: 0001730168-21-000053 · wf-form4_161601775080879.xml · nonDerivative · entry 9 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,943 F10 · price: Transaction executed in multiple trades at prices ranging from $476.25 to $477.24 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F4 · balance_after: Includes 35,750 RSUs. Read SEC document |
| March 16, 2021 Filed Mar 17, 2021 17:49 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 646 | $474.35 | $306,428.81 |
DisclosureSEC source: 0001730168-21-000053 · wf-form4_161601775080879.xml · nonDerivative · entry 8 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,169 F9 · price: Transaction executed in multiple trades at prices ranging from $473.84 to $474.82 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F4 · balance_after: Includes 35,750 RSUs. Read SEC document |
| March 16, 2021 Filed Mar 17, 2021 17:49 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 776 | $473.06 | $367,093.01 |
DisclosureSEC source: 0001730168-21-000053 · wf-form4_161601775080879.xml · nonDerivative · entry 7 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,815 F8 · price: Transaction executed in multiple trades at prices ranging from $472.76 to $473.66 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F4 · balance_after: Includes 35,750 RSUs. Read SEC document |
| March 16, 2021 Filed Mar 17, 2021 17:49 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 902 | $472.04 | $425,776.47 |
DisclosureSEC source: 0001730168-21-000053 · wf-form4_161601775080879.xml · nonDerivative · entry 6 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,591 F7 · price: Transaction executed in multiple trades at prices ranging from $471.71 to $472.60 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F4 · balance_after: Includes 35,750 RSUs. Read SEC document |
| March 16, 2021 Filed Mar 17, 2021 17:49 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 654 | $471.20 | $308,164.15 |
DisclosureSEC source: 0001730168-21-000053 · wf-form4_161601775080879.xml · nonDerivative · entry 5 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,493 F6 · price: Transaction executed in multiple trades at prices ranging from $470.70 to $471.67 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F4 · balance_after: Includes 35,750 RSUs. Read SEC document |
| March 16, 2021 Filed Mar 17, 2021 17:49 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 30 | $469.35 | $14,080.50 |
DisclosureSEC source: 0001730168-21-000053 · wf-form4_161601775080879.xml · nonDerivative · entry 4 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,147 F4 · balance_after: Includes 35,750 RSUs. Read SEC document |
| March 16, 2021 Filed Mar 17, 2021 17:49 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 400 | $468.23 | $187,293.60 |
DisclosureSEC source: 0001730168-21-000053 · wf-form4_161601775080879.xml · nonDerivative · entry 3 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,177 F5 · price: Transaction executed in multiple trades at prices ranging from $467.98 to $468.83 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F4 · balance_after: Includes 35,750 RSUs. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 17:49 UTC | Broadcom Inc. AVGO · Entity 2789 | Tax withholdingCommon Stock, $0.001 par value | 15,923 | $470.77 | $7,496,070.71 |
DisclosureSEC source: 0001730168-21-000053 · wf-form4_161601775080879.xml · nonDerivative · entry 2 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,577 F3 · shares: Consists of shares withheld by the Issuer to satisfy the tax withholding obligations of the Reporting Person upon the vesting of the relevant RSUs, including PSU awards, previously granted to the Reporting Person. F4 · balance_after: Includes 35,750 RSUs. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 17:49 UTC | Broadcom Inc. AVGO · Entity 2789 | GrantCommon Stock, $0.001 par value | 15,625 | $0.00 | $0.00 |
DisclosureSEC source: 0001730168-21-000053 · wf-form4_161601775080879.xml · nonDerivative · entry 1 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,500 F1 · shares: On March 15, 2021, the Compensation Committee of the Issuer determined the achievement of certain performance criteria, based on the Issuer's compound annual total stockholder return relative to the S&P 500 Index, and the number of restricted stock units ("RSUs") that vests with respect to the fourth and final performance period pursuant to the terms of a performance stock unit award ("PSU award") granted on March 15, 2017 under the Avago Technologies Limited 2009 Equity Incentive Award Plan. The RSUs are subject to time-based vesting conditions and fully vested on March 15, 2021, subject to the Reporting Person's continued service through such date. The Reporting Person is entitled to one (1) share of common stock of the Issuer for each one (1) RSU. F2 · balance_after: Represents 68,500 RSUs. Read SEC document |
| March 02, 2021 Filed Mar 4, 2021 17:13 UTC | Broadcom Inc. AVGO · Entity 2789 | GrantCommon Stock, $0.001 par value | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001730168-21-000032 · wf-form4_161489600294482.xml · nonDerivative · entry 3 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,875 F5 · shares: On March 2, 2021, the Compensation Committee of the Issuer determined the achievement of certain performance criteria, based on the Issuer's TSR relative to the S&P 500 Index, and the number of RSUs that will vest with respect to the third of four performance periods pursuant to the terms of a PSU award granted on March 15, 2018 under the 2009 Avago Plan. The RSUs are subject to time-based vesting conditions and will vest in full on March 15, 2021, subject to the Reporting Person's continued service through such date. Upon vesting thereof, the Reporting Person is entitled to one (1) share of common stock for each one (1) RSU. F6 · balance_after: Represents 52,875 RSUs. Read SEC document |
| March 02, 2021 Filed Mar 4, 2021 17:13 UTC | Broadcom Inc. AVGO · Entity 2789 | GrantCommon Stock, $0.001 par value | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001730168-21-000032 · wf-form4_161489600294482.xml · nonDerivative · entry 2 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,875 F3 · shares: On March 2, 2021, the Compensation Committee of the Issuer determined the achievement of certain performance criteria, based on the Issuer's TSR relative to the S&P 500 Index, and the number of RSUs that will vest with respect to the second of four performance periods pursuant to the terms of a PSU award granted on January 15, 2019 under the 2009 Avago Plan. The RSUs are subject to time-based vesting conditions and will vest in full on March 15, 2021, subject to the Reporting Person's continued service through such date. Upon vesting thereof, the Reporting Person is entitled to one (1) share of common stock for each one (1) RSU. F4 · balance_after: Represents 50,875 RSUs. Read SEC document |
| March 02, 2021 Filed Mar 4, 2021 17:13 UTC | Broadcom Inc. AVGO · Entity 2789 | GrantCommon Stock, $0.001 par value | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001730168-21-000032 · wf-form4_161489600294482.xml · nonDerivative · entry 1 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,375 F1 · shares: On March 2, 2021, the Compensation Committee of the Issuer determined the achievement of certain performance criteria, based on the Issuer's compound annual total stockholder return ("TSR") relative to the S&P 500 Index, and the number of restricted stock units ("RSUs") that will vest with respect to the first of four performance periods pursuant to the terms of a performance stock unit award ("PSU award") granted on January 15, 2019 under the Avago Technologies Limited 2009 Equity Incentive Award Plan ("2009 Avago Plan"). The RSUs are subject to time-based vesting conditions and will vest in full on March 15, 2021, subject to the Reporting Person's continued service through such date. Upon vesting thereof, the Reporting Person is entitled to one (1) share of common stock for each one (1) RSU. F2 · balance_after: Represents 48,375 RSUs. Read SEC document |
| December 29, 2020 Filed Dec 31, 2020 16:40 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 56 | $430.01 | $24,080.62 |
DisclosureSEC source: 0001730168-20-000240 · wf-form4_160945081819357.xml · nonDerivative · entry 3 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,875 F4 · price: Transaction executed in multiple trades at prices ranging from $430.00 to $430.04 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 45,875 restricted stock units. Read SEC document |
| December 29, 2020 Filed Dec 31, 2020 16:40 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 105 | $429.00 | $45,044.58 |
DisclosureSEC source: 0001730168-20-000240 · wf-form4_160945081819357.xml · nonDerivative · entry 2 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,931 F3 · price: Transaction executed in multiple trades at prices ranging from $428.92 to $429.00 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 45,875 restricted stock units. Read SEC document |
| December 29, 2020 Filed Dec 31, 2020 16:40 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 300 | $427.64 | $128,292.90 |
DisclosureSEC source: 0001730168-20-000240 · wf-form4_160945081819357.xml · nonDerivative · entry 1 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,036 F1 · price: Transaction executed in multiple trades at prices ranging from $427.37 to $427.96 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 45,875 restricted stock units. Read SEC document |
| December 16, 2020 Filed Dec 17, 2020 17:13 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 1,260 | $418.23 | $526,963.50 |
DisclosureSEC source: 0001730168-20-000215 · wf-form4_160824317877374.xml · nonDerivative · entry 3 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,336 F2 · balance_after: Includes 45,875 RSUs. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 17:13 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 2,550 | $415.46 | $1,059,423.00 |
DisclosureSEC source: 0001730168-20-000215 · wf-form4_160824317877374.xml · nonDerivative · entry 2 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,596 F2 · balance_after: Includes 45,875 RSUs. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 17:13 UTC | Broadcom Inc. AVGO · Entity 2789 | Tax withholdingCommon Stock, $0.001 par value | 1,240 | $418.06 | $518,394.40 |
DisclosureSEC source: 0001730168-20-000215 · wf-form4_160824317877374.xml · nonDerivative · entry 1 Krause Thomas H. · CIK 0001670643 · President,Infrastructure SW Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,146 F1 · shares: Consists of shares withheld by the Issuer to satisfy the tax withholding obligations of the Reporting Person upon the vesting of the relevant restricted stock units ("RSUs") previously granted to the Reporting Person. F2 · balance_after: Includes 45,875 RSUs. Read SEC document |
| November 15, 2020 Filed Nov 17, 2020 18:22 UTC | Broadcom Inc. AVGO · Entity 2789 | Exercise / conversionPerformance Based Restricted Stock Units · Derivative | 2,500 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001730168-20-000190 · wf-form4_160565534349323.xml · derivative · entry 3 Krause Thomas H. · CIK 0001670643 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $0.001 par value · 2,500 shares Expires 2020-11-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan on November 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on November 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On January 5, 2017, the Price Contingency was met, and on November 15, 2020, the fourth and final 25% of the Performance RSU vested. F1 · derivative.exercise_date: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan on November 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on November 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On January 5, 2017, the Price Contingency was met, and on November 15, 2020, the fourth and final 25% of the Performance RSU vested. F1 · derivative.expiration_date: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan on November 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on November 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On January 5, 2017, the Price Contingency was met, and on November 15, 2020, the fourth and final 25% of the Performance RSU vested. Read SEC document |
| November 15, 2020 Filed Nov 17, 2020 18:22 UTC | Broadcom Inc. AVGO · Entity 2789 | Tax withholdingCommon Stock, $0.001 par value | 2,480 | $373.50 | $926,280.00 |
DisclosureSEC source: 0001730168-20-000190 · wf-form4_160565534349323.xml · nonDerivative · entry 2 Krause Thomas H. · CIK 0001670643 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,386 F4 · shares: Consists of shares of common stock withheld by the Issuer to satisfy the tax withholding obligations of the Reporting Person upon the vesting of the Performance RSU and the relevant RSUs previously granted to the Reporting Person. F3 · balance_after: Includes 48,375 restricted stock units ("RSUs"). Read SEC document |
| November 15, 2020 Filed Nov 17, 2020 18:22 UTC | Broadcom Inc. AVGO · Entity 2789 | Exercise / conversionCommon Stock, $0.001 par value | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001730168-20-000190 · wf-form4_160565534349323.xml · nonDerivative · entry 1 Krause Thomas H. · CIK 0001670643 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,866 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan on November 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on November 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On January 5, 2017, the Price Contingency was met, and on November 15, 2020, the fourth and final 25% of the Performance RSU vested. F2 · price: Each Performance RSU represents the right to receive, at settlement, one share of common stock of the Issuer. This transaction represents the settlement of the Performance RSU in the Issuer's shares of common stock on the scheduled vest date. F3 · balance_after: Includes 48,375 restricted stock units ("RSUs"). Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 17:40 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 5,860 | $317.84 | $1,862,518.96 |
DisclosureSEC source: 0001730168-20-000105 · wf-form4_159191160260123.xml · nonDerivative · entry 7 Krause Thomas H. · CIK 0001670643 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,366 F8 · price: Transaction executed in multiple trades at prices ranging from $317.59 to $318.48 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F2 · balance_after: Includes 50,875 Restricted Stock Units. Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 17:40 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 12,266 | $317.11 | $3,889,634.46 |
DisclosureSEC source: 0001730168-20-000105 · wf-form4_159191160260123.xml · nonDerivative · entry 6 Krause Thomas H. · CIK 0001670643 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,226 F7 · price: Transaction executed in multiple trades at prices ranging from $316.58 to $317.57 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F2 · balance_after: Includes 50,875 Restricted Stock Units. Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 17:40 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 16,243 | $316.01 | $5,132,950.43 |
DisclosureSEC source: 0001730168-20-000105 · wf-form4_159191160260123.xml · nonDerivative · entry 5 Krause Thomas H. · CIK 0001670643 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,492 F6 · price: Transaction executed in multiple trades at prices ranging from $315.58 to $316.57 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F2 · balance_after: Includes 50,875 Restricted Stock Units. Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 17:40 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 3,531 | $315.27 | $1,113,232.49 |
DisclosureSEC source: 0001730168-20-000105 · wf-form4_159191160260123.xml · nonDerivative · entry 4 Krause Thomas H. · CIK 0001670643 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,735 F5 · price: Transaction executed in multiple trades at prices ranging from $314.58 to $315.56 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F2 · balance_after: Includes 50,875 Restricted Stock Units. Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 17:40 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 400 | $313.96 | $125,583.20 |
DisclosureSEC source: 0001730168-20-000105 · wf-form4_159191160260123.xml · nonDerivative · entry 3 Krause Thomas H. · CIK 0001670643 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,266 F4 · price: Transaction executed in multiple trades at prices ranging from $313.58 to $314.57 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F2 · balance_after: Includes 50,875 Restricted Stock Units. Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 17:40 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 1,100 | $312.92 | $344,215.30 |
DisclosureSEC source: 0001730168-20-000105 · wf-form4_159191160260123.xml · nonDerivative · entry 2 Krause Thomas H. · CIK 0001670643 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,666 F3 · price: Transaction executed in multiple trades at prices ranging from $312.58 to $313.40 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F2 · balance_after: Includes 50,875 Restricted Stock Units. Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 17:40 UTC | Broadcom Inc. AVGO · Entity 2789 | SaleCommon Stock, $0.001 par value | 600 | $312.26 | $187,353.60 |
DisclosureSEC source: 0001730168-20-000105 · wf-form4_159191160260123.xml · nonDerivative · entry 1 Krause Thomas H. · CIK 0001670643 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,766 F1 · price: Transaction executed in multiple trades at prices ranging from $311.58 to $312.51 per share, inclusive. The price reported in column 4 above reflects the weighted average sale price per share. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F2 · balance_after: Includes 50,875 Restricted Stock Units. Read SEC document |
| March 17, 2020 Filed Mar 18, 2020 20:31 UTC | Broadcom Inc. AVGO · Entity 2789 | Tax withholdingCommon Stock, $0.001 par value | 1,557 | $234.22 | $364,680.54 |
DisclosureSEC source: 0001730168-20-000061 · wf-form4_158457788517865.xml · nonDerivative · entry 2 Krause Thomas H. · CIK 0001670643 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,366 F1 · shares: Consists of shares withheld by the Issuer to satisfy the tax withholding obligations of the Reporting Person upon the vesting of the relevant restricted stock units ("RSUs"), including Performance RSUs, previously granted to the Reporting Person. F2 · balance_after: Includes 50,875 RSUs. Read SEC document |
| March 16, 2020 Filed Mar 18, 2020 20:31 UTC | Broadcom Inc. AVGO · Entity 2789 | Tax withholdingCommon Stock, $0.001 par value | 7,813 | $234.22 | $1,829,960.86 |
DisclosureSEC source: 0001730168-20-000061 · wf-form4_158457788517865.xml · nonDerivative · entry 1 Krause Thomas H. · CIK 0001670643 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,923 F1 · shares: Consists of shares withheld by the Issuer to satisfy the tax withholding obligations of the Reporting Person upon the vesting of the relevant restricted stock units ("RSUs"), including Performance RSUs, previously granted to the Reporting Person. F2 · balance_after: Includes 50,875 RSUs. Read SEC document |
| March 15, 2020 Filed Mar 17, 2020 17:33 UTC | Broadcom Inc. AVGO · Entity 2789 | Exercise / conversionPerformance Based Restricted Stock Units · Derivative | 2,500 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001730168-20-000051 · wf-form4_158448080727653.xml · derivative · entry 3 Krause Thomas H. · CIK 0001670643 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $0.001 par value · 2,500 shares Expires 2020-03-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan ("2009 Avago Plan") on March 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on March 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On January 5, 2017, the Price Contingency was met, and on March 15, 2020, the fourth and final 25% of the Performance RSU vested. F1 · derivative.expiration_date: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan ("2009 Avago Plan") on March 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on March 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On January 5, 2017, the Price Contingency was met, and on March 15, 2020, the fourth and final 25% of the Performance RSU vested. Read SEC document |
| March 15, 2020 Filed Mar 17, 2020 17:33 UTC | Broadcom Inc. AVGO · Entity 2789 | GrantCommon Stock, $0.001 par value | 3,125 | $0.00 | $0.00 |
DisclosureSEC source: 0001730168-20-000051 · wf-form4_158448080727653.xml · nonDerivative · entry 2 Krause Thomas H. · CIK 0001670643 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,736 F4 · shares: On March 15, 2020, the Compensation Committee of the Issuer determined the achievement of certain performance criteria, based on the Issuer's compound annual total stockholder return relative to the S&P 500 Index, and the number of RSUs that vested on March 15, 2020 with respect to the third of four performance periods pursuant to the terms of a performance stock unit award granted on March 15, 2017 under the 2009 Avago Plan. The Reporting Person received one (1) share of common stock for each one (1) RSU. F3 · balance_after: Includes 50,875 restricted stock units ("RSU"). Read SEC document |
| March 15, 2020 Filed Mar 17, 2020 17:33 UTC | Broadcom Inc. AVGO · Entity 2789 | Exercise / conversionCommon Stock, $0.001 par value | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001730168-20-000051 · wf-form4_158448080727653.xml · nonDerivative · entry 1 Krause Thomas H. · CIK 0001670643 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,611 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Shares vested pursuant to a share price performance restricted stock unit award (the "Performance RSU") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan ("2009 Avago Plan") on March 15, 2016. The Performance RSU is subject to vest over four years, with 25% vesting on each anniversary of the date of grant, such that the Performance RSU fully vested on March 15, 2020, subject to the Reporting Person's continued service through such date; and provided, however, that no portion of the Performance RSU may vest unless the average of the closing prices of the Issuer's shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's shares on the date of grant (the "Price Contingency"). On January 5, 2017, the Price Contingency was met, and on March 15, 2020, the fourth and final 25% of the Performance RSU vested. F2 · price: Each Performance RSU represents the right to receive, at settlement, one share of common stock of the Issuer. This transaction represents the settlement of the Performance RSU in the Issuer's shares of common stock on the scheduled vest date. F3 · balance_after: Includes 50,875 restricted stock units ("RSU"). 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.