Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Broadcom Inc.AVGO · Entity 2789 | Director | April 04, 2018 | April 06, 2018 |
| Broadcom LtdAVGO · Entity 167990 | Director | December 14, 2017 | December 15, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Broadcom Inc.
Report date April 04, 2018 · Filed April 06, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 24,704 |
Reported balance
After 2018-04-04 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-04-04 · Grant · Acquired 807 · Balance 24,704 F1: Grant of Restricted Stock Units ("RSUs") pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan. Upon vesting thereof, the Reporting Person is entitled to receive one (1) share of Issuer's common stock for each one (1) RSU. The Vesting Commencement Date is April 4, 2018. The RSUs vest in full on the earlier of (i) the first anniversary of the Vesting Commencement Date or (ii) the date on which the annual meeting of Issuer's stockholders immediately following the Vesting Commencement Date is held, subject to Reporting Person's continuing service on the vesting date. F2: Includes 807 restricted stock units. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | IndirectSee Footnote | 119,500 |
Reported balance
Holding disclosure · report date 2018-04-04 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 119,500 F3: Shares held by the James V. Diller and June P. Diller Trust UA 7/20/77, for which the Reporting Person serves as Trustee. |
Filing footnotes · ownership attribution and instrument terms
F1: Grant of Restricted Stock Units ("RSUs") pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan. Upon vesting thereof, the Reporting Person is entitled to receive one (1) share of Issuer's common stock for each one (1) RSU. The Vesting Commencement Date is April 4, 2018. The RSUs vest in full on the earlier of (i) the first anniversary of the Vesting Commencement Date or (ii) the date on which the annual meeting of Issuer's stockholders immediately following the Vesting Commencement Date is held, subject to Reporting Person's continuing service on the vesting date.
F2: Includes 807 restricted stock units.
F3: Shares held by the James V. Diller and June P. Diller Trust UA 7/20/77, for which the Reporting Person serves as Trustee.
Broadcom Ltd
Report date December 14, 2017 · Filed December 15, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary Shares, no par valueSEC Table I · non-derivative | Direct | 23,897 |
Last balance in matching sequence
After 2017-12-14 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2017-12-14 · Exercise / conversion · Acquired 9,854 · Balance 18,674 F1: Includes 906 Restricted Share Units. Row 2 · 2017-12-14 · Exercise / conversion · Acquired 5,223 · Balance 23,897 F1: Includes 906 Restricted Share Units. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $35.38 · Expires 2018-04-09 | Direct | 0 |
Reported balance
After 2017-12-14 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-12-14 · Exercise / conversion · Disposed 9,854 · Balance 0 F3: The option is fully vested and exercisable. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $62.47 · Expires 2019-04-08 | Direct | 0 |
Reported balance
After 2017-12-14 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2017-12-14 · Exercise / conversion · Disposed 5,223 · Balance 0 F3: The option is fully vested and exercisable. |
| Ordinary Shares, no par valueSEC Table I · non-derivative | IndirectSee Footnote | 119,500 |
Reported balance
Holding disclosure · report date 2017-12-14 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 119,500 F2: Shares held by the James V. Diller and June P. Diller Trust UA 7/20/77, for which the Reporting Person serves as Trustee. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 906 Restricted Share Units.
F2: Shares held by the James V. Diller and June P. Diller Trust UA 7/20/77, for which the Reporting Person serves as Trustee.
F3: The option is fully vested and exercisable.
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 |
|---|---|---|---|---|---|---|
| April 04, 2018 Filed Apr 6, 2018 16:08 UTC | Broadcom Inc. AVGO · Entity 2789 | GrantCommon Stock, $0.001 par value | 807 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-009661 · doc4.xml · nonDerivative · entry 1 DILLER JAMES · CIK 0001215805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,704 F1 · shares: Grant of Restricted Stock Units ("RSUs") pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan. Upon vesting thereof, the Reporting Person is entitled to receive one (1) share of Issuer's common stock for each one (1) RSU. The Vesting Commencement Date is April 4, 2018. The RSUs vest in full on the earlier of (i) the first anniversary of the Vesting Commencement Date or (ii) the date on which the annual meeting of Issuer's stockholders immediately following the Vesting Commencement Date is held, subject to Reporting Person's continuing service on the vesting date. F2 · balance_after: Includes 807 restricted stock units. Read SEC document |
| December 14, 2017 Filed Dec 15, 2017 18:48 UTC | Broadcom Ltd AVGO · Entity 167990 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,223 | $0.00 Strike: $62.47 | $0.00 |
DisclosureSEC source: 0001649338-17-000145 · wf-form4_151338166859235.xml · derivative · entry 5 DILLER JAMES · CIK 0001215805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares, no par value · 5,223 shares Expires 2019-04-08 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 |
| December 14, 2017 Filed Dec 15, 2017 18:48 UTC | Broadcom Ltd AVGO · Entity 167990 | Exercise / conversionStock Option (Right to Buy) · Derivative | 9,854 | $0.00 Strike: $35.38 | $0.00 |
DisclosureSEC source: 0001649338-17-000145 · wf-form4_151338166859235.xml · derivative · entry 4 DILLER JAMES · CIK 0001215805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares, no par value · 9,854 shares Expires 2018-04-09 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. F3 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| December 14, 2017 Filed Dec 15, 2017 18:48 UTC | Broadcom Ltd AVGO · Entity 167990 | Exercise / conversionOrdinary Shares, no par value | 5,223 | $62.47 | $326,280.81 |
DisclosureSEC source: 0001649338-17-000145 · wf-form4_151338166859235.xml · nonDerivative · entry 2 DILLER JAMES · CIK 0001215805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,897 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 906 Restricted Share Units. Read SEC document |
| December 14, 2017 Filed Dec 15, 2017 18:48 UTC | Broadcom Ltd AVGO · Entity 167990 | Exercise / conversionOrdinary Shares, no par value | 9,854 | $35.38 | $348,634.52 |
DisclosureSEC source: 0001649338-17-000145 · wf-form4_151338166859235.xml · nonDerivative · entry 1 DILLER JAMES · CIK 0001215805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,674 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 906 Restricted Share Units. Read SEC document |
| October 20, 2017 Filed Nov 29, 2017 18:20 UTC | Broadcom Ltd AVGO · Entity 167990 | GiftOrdinary Shares, no par value | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0001649338-17-000123 · wf-form5_151199760824196.xml · nonDerivative · entry 1 DILLER JAMES · CIK 0001215805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 119,500 F1 · kind: Charitable gift. F2 · ownership.nature: Shares held by the James V. Diller and June P. Diller Trust UA 7/20/77, for which the Reporting Person serves as Trustee. Read SEC document |
| April 05, 2017 Filed Apr 6, 2017 17:29 UTC | Broadcom Ltd AVGO · Entity 167990 | GrantOrdinary Shares, no par value | 906 | $0.00 | $0.00 |
DisclosureSEC source: 0001649338-17-000078 · wf-form4_149151417288879.xml · nonDerivative · entry 1 DILLER JAMES · CIK 0001215805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,820 F1 · 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 receive one (1) Ordinary Share for each one (1) RSU. The Vesting Commencement Date is April 5, 2017. The RSUs vest in full on the earlier of (i) the first anniversary of the Vesting Commencement Date or (ii) the date on which the annual general meeting of Company shareholders immediately following the Vesting Commencement Date is held, subject to the director's continuing service on the vesting date. F2 · balance_after: Includes 906 RSUs. 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.