0001441634-15-000071.txt : 20151203 0001441634-15-000071.hdr.sgml : 20151203 20151203180617 ACCESSION NUMBER: 0001441634-15-000071 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151201 FILED AS OF DATE: 20151203 DATE AS OF CHANGE: 20151203 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Avago Technologies LTD CENTRAL INDEX KEY: 0001441634 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 980682363 FISCAL YEAR END: 1031 BUSINESS ADDRESS: STREET 1: 1 YISHUN AVENUE 7 CITY: SINGAPORE STATE: U0 ZIP: 768923 BUSINESS PHONE: (65) 6755-7888 MAIL ADDRESS: STREET 1: 1 YISHUN AVENUE 7 CITY: SINGAPORE STATE: U0 ZIP: 768923 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TAN HOCK E CENTRAL INDEX KEY: 0001211588 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34428 FILM NUMBER: 151268337 MAIL ADDRESS: STREET 1: C/O AVAGO TECHNOLOGIES U.S. INC. STREET 2: 1320 RIDDER PARK DRIVE CITY: SAN JOSE STATE: CA ZIP: 95131 4 1 wf-form4_144918396692982.xml FORM 4 X0306 4 2015-12-01 0 0001441634 Avago Technologies LTD AVGO 0001211588 TAN HOCK E C/O AVAGO TECHNOLOGIES US INC. 1320 RIDDER PARK DRIVE SAN JOSE CA 95131 1 1 0 0 President and CEO Ordinary Shares 2015-12-01 4 M 0 96355 38.99 A 234611 D Ordinary Shares 2015-12-01 4 M 0 9374 35.45 A 243985 D Ordinary Shares 2015-12-01 4 S 0 16926 131.84 D 227059 D Ordinary Shares 2015-12-01 4 S 0 72703 132.58 D 154356 D Ordinary Shares 2015-12-01 4 S 0 16100 133.28 D 138256 D Employee Stock Options (right to buy) 38.99 2015-12-01 4 M 0 96355 0 D 2020-09-12 Ordinary Shares 96355.0 1653645 D Employee Stock Options (right to buy) 35.45 2015-12-01 4 M 0 9374 0 D 2020-03-11 Ordinary Shares 9374.0 131250 D Transactions made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Includes 41,666 Restricted Share Units. Transaction executed in multiple trades at prices ranging from $131.09 to $132.08 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. Transaction executed in multiple trades at prices ranging from $132.09 to $133.08 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. Transaction executed in multiple trades at prices ranging from $133.10 to $133.59 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. Share price performance option (the "Option") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan. The Option vests over four years, with 25% vesting on each anniversary of the date of grant, such that the Option will be fully vested on September 13, 2017. The exercisability requirements for the Option have been met. Share price performance option (the "Option") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan. The Option vests over four years, with 25% vesting on each anniversary of the date of grant, such that the Option will be fully vested on March 12, 2017. The exercisability requirements for the Option have been met. /s/Rebecca Boyden, Attorney-in-Fact for Hock E. Tan 2015-12-03