0001730168-21-000039.txt : 20210311 0001730168-21-000039.hdr.sgml : 20210311 20210311171111 ACCESSION NUMBER: 0001730168-21-000039 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210309 FILED AS OF DATE: 20210311 DATE AS OF CHANGE: 20210311 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARTENSTEIN EDDY W CENTRAL INDEX KEY: 0001142524 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38449 FILM NUMBER: 21734189 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Broadcom Inc. CENTRAL INDEX KEY: 0001730168 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1101 BUSINESS ADDRESS: STREET 1: 1320 RIDDER PARK DRIVE CITY: SAN JOSE STATE: CA ZIP: 95131 BUSINESS PHONE: 408-433-8000 MAIL ADDRESS: STREET 1: 1320 RIDDER PARK DRIVE CITY: SAN JOSE STATE: CA ZIP: 95131 FORMER COMPANY: FORMER CONFORMED NAME: Broadcom Ltd DATE OF NAME CHANGE: 20180201 4 1 wf-form4_161550065392462.xml FORM 4 X0306 4 2021-03-09 0 0001730168 Broadcom Inc. AVGO 0001142524 HARTENSTEIN EDDY W C/O BROADCOM INC. 1320 RIDDER PARK DRIVE SAN JOSE CA 95131 1 0 0 0 Common Stock, $0.001 par value 2021-03-09 4 S 0 33 431.36 D 7387 D Common Stock, $0.001 par value 2021-03-09 4 S 0 154 436.173 D 7233 D Common Stock, $0.001 par value 2021-03-09 4 S 0 61 438.092 D 7172 D Common Stock, $0.001 par value 2021-03-09 4 S 0 52 439.029 D 7120 D Common Stock, $0.001 par value 2021-03-09 4 S 0 30 441.25 D 7090 D Common Stock, $0.001 par value 2021-03-09 4 S 0 55 442.637 D 7035 D Common Stock, $0.001 par value 2021-03-09 4 S 0 71 444.66 D 6964 D Common Stock, $0.001 par value 2021-03-09 4 S 0 73 446.144 D 6891 D Common Stock, $0.001 par value 2021-03-09 4 S 0 1 446.66 D 6890 D Common Stock, $0.001 par value 2021-03-10 4 S 0 61 436.201 D 6829 D Common Stock, $0.001 par value 2021-03-10 4 S 0 60 437.26 D 6769 D Common Stock, $0.001 par value 2021-03-10 4 S 0 75 438.635 D 6694 D Common Stock, $0.001 par value 2021-03-10 4 S 0 40 439.785 D 6654 D Common Stock, $0.001 par value 2021-03-10 4 S 0 30 442.38 D 6624 D Common Stock, $0.001 par value 2021-03-10 4 S 0 93 444.259 D 6531 D Common Stock, $0.001 par value 2021-03-10 4 S 0 30 445.54 D 6501 D Common Stock, $0.001 par value 2021-03-10 4 S 0 47 447.231 D 6454 D Common Stock, $0.001 par value 2021-03-10 4 S 0 31 448.17 D 6423 D Common Stock, $0.001 par value 2021-03-10 4 S 0 32 449.83 D 6391 D Common Stock, $0.001 par value 2021-03-10 4 S 0 31 453.50 D 6360 D Common Stock, $0.001 par value 22892 I See Footnote Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Includes 949 restricted stock units. Transaction executed in multiple trades at prices ranging from $435.75 to $436.53 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 $437.65 to $438.52 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 $438.66 to $439.62 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 $442.41 to $443.38 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 $444.29 to $445.12 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 $445.66 to $446.46 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 $435.85 to $436.54 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 $437.07 to $437.45 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 $438.38 to $438.88 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 $439.60 to $440.34 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 $443.90 to $444.47 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 $447.02 to $447.64 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. Shares held by the Hartenstein family trust, for which the Reporting Person serves as trustee. /s/ Noelle Matteson, Attorney-in-Fact for Eddy W. Hartenstein 2021-03-11