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 13, 2017 Filed Mar 14, 2017 18:32 UTC | Broadcom Ltd AVGO · Entity 167990 | Exercise / conversionStock Option (Right to Buy) · Derivative | 6,000 | $0.00 Strike: $35.45 | $0.00 |
DisclosureSEC source: 0001649338-17-000040 · wf-form4_148953073955448.xml · derivative · entry 5 Krause Thomas H. · CIK 0001670643 · VP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares, no par value · 6,000 shares Expires 2020-03-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: Share price performance option (the "2013 Option") granted pursuant to the Avago Plan. The 2013 Option vests over four years, with 25% vesting on each anniversary of the date of grant, such that the 2013 Option will be fully vested on March 12, 2017. The exercisability requirements for the 2013 Option have been met. Read SEC document |
| March 13, 2017 Filed Mar 14, 2017 18:32 UTC | Broadcom Ltd AVGO · Entity 167990 | SaleOrdinary Shares, no par value | 9,700 | $226.81 | $2,200,037.60 |
DisclosureSEC source: 0001649338-17-000040 · wf-form4_148953073955448.xml · nonDerivative · entry 4 Krause Thomas H. · CIK 0001670643 · VP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,903 F3 · price: Transaction executed in multiple trades at prices ranging from $226.45 to $226.93 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 52,500 Restricted Share Units. Read SEC document |
| March 13, 2017 Filed Mar 14, 2017 18:32 UTC | Broadcom Ltd AVGO · Entity 167990 | SaleOrdinary Shares, no par value | 18,800 | $225.89 | $4,246,694.40 |
DisclosureSEC source: 0001649338-17-000040 · wf-form4_148953073955448.xml · nonDerivative · entry 3 Krause Thomas H. · CIK 0001670643 · VP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,603 F2 · price: Transaction executed in multiple trades at prices ranging from $225.41 to $226.40 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. F1 · balance_after: Includes 52,500 Restricted Share Units. Read SEC document |
| March 13, 2017 Filed Mar 14, 2017 18:32 UTC | Broadcom Ltd AVGO · Entity 167990 | Exercise / conversionOrdinary Shares, no par value | 22,500 | $62.02 | $1,395,450.00 |
DisclosureSEC source: 0001649338-17-000040 · wf-form4_148953073955448.xml · nonDerivative · entry 2 Krause Thomas H. · CIK 0001670643 · VP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,403 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 52,500 Restricted Share Units. Read SEC document |
| March 13, 2017 Filed Mar 14, 2017 18:32 UTC | Broadcom Ltd AVGO · Entity 167990 | Exercise / conversionOrdinary Shares, no par value | 6,000 | $35.45 | $212,700.00 |
DisclosureSEC source: 0001649338-17-000040 · wf-form4_148953073955448.xml · nonDerivative · entry 1 Krause Thomas H. · CIK 0001670643 · VP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,903 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 52,500 Restricted Share Units. Read SEC document |
| March 08, 2017 Filed Mar 9, 2017 17:28 UTC | Broadcom Ltd AVGO · Entity 167990 | SaleOrdinary Shares, no par value | 4,289 | $220.00 | $943,584.29 |
DisclosureSEC source: 0001649338-17-000031 · wf-form4_148909849390873.xml · nonDerivative · entry 1 Krause Thomas H. · CIK 0001670643 · VP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,903 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 52,500 RSUs. Read SEC document |
| March 03, 2017 Filed Mar 7, 2017 19:53 UTC | Broadcom Ltd AVGO · Entity 167990 | GrantOrdinary Shares, no par value | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001649338-17-000015 · wf-form4_148893440902766.xml · nonDerivative · entry 1 Krause Thomas H. · CIK 0001670643 · VP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,192 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 62,000 RSUs. Read SEC document |
| December 06, 2016 Filed Dec 8, 2016 18:09 UTC | Broadcom Ltd AVGO · Entity 167990 | GrantOrdinary Shares, no par value | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001649338-16-000118 · wf-form4_148123854135195.xml · nonDerivative · entry 1 Krause Thomas H. · CIK 0001670643 · VP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,692 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 49,500 RSUs. Read SEC document |
| October 14, 2016 Filed Oct 17, 2016 20:41 UTC | Broadcom Ltd AVGO · Entity 167990 | GrantPerformance Based Restricted Stock Units · Derivative | 10,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001649338-16-000110 · wf-form4_147675129017290.xml · derivative · entry 2 Krause Thomas H. · CIK 0001670643 · VP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Ordinary Shares, no par value · 10,000 shares Expires not disclosed F1 · date: Award approved on October 14, 2016 with an effective grant date of November 15, 2016 (the "Grant Date"). F4 · derivative.exercise_date: Share price performance RSU (the "Performance RSU") granted pursuant to the Avago Plan. The Performance RSU vests over four years, with the vesting period commencing on the Grant Date, with 25% vesting on each anniversary of the Grant Date. However, no portion of the Performance RSU shall vest unless and until the average of the per share closing prices of the Company'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 a Company's ordinary share on the Grant Date (the "Price Contingency"). F5 · derivative.expiration_date: In the event that the Price Contingency is not met on or prior to the earlier of the fourth anniversary of the Grant Date or the Reporting Person's termination of services with the Issuer, all Performance RSUs subject to the award which have not previously vested shall immediately be forfeited. Read SEC document |
| October 14, 2016 Filed Oct 17, 2016 20:41 UTC | Broadcom Ltd AVGO · Entity 167990 | GrantOrdinary Shares, no par value | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001649338-16-000110 · wf-form4_147675129017290.xml · nonDerivative · entry 1 Krause Thomas H. · CIK 0001670643 · VP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,692 F1 · date: Award approved on October 14, 2016 with an effective grant date of November 15, 2016 (the "Grant Date"). 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 November 15, 2016. F3 · balance_after: Includes 44,500 Restricted Share Units. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.