0001649338-17-000147.txt : 20171219 0001649338-17-000147.hdr.sgml : 20171219 20171219194157 ACCESSION NUMBER: 0001649338-17-000147 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171215 FILED AS OF DATE: 20171219 DATE AS OF CHANGE: 20171219 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: 001-37690 FILM NUMBER: 171265434 MAIL ADDRESS: STREET 1: C/O AVAGO TECHNOLOGIES U.S. INC. STREET 2: 1320 RIDDER PARK DRIVE CITY: SAN JOSE STATE: CA ZIP: 95131 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Broadcom Ltd CENTRAL INDEX KEY: 0001649338 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 000000000 FISCAL YEAR END: 1030 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 FORMER COMPANY: FORMER CONFORMED NAME: Pavonia Ltd DATE OF NAME CHANGE: 20150728 4 1 wf-form4_151373050320459.xml FORM 4 X0306 4 2017-12-15 0 0001649338 Broadcom 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, no par value 2017-12-15 4 M 0 10000 32.39 A 120623 D Ordinary Shares, no par value 2017-12-15 4 M 0 10000 38.99 A 130623 D Ordinary Shares, no par value 2017-12-15 4 S 0 5920 259.086 D 124703 D Ordinary Shares, no par value 2017-12-15 4 S 0 13280 259.857 D 111423 D Ordinary Shares, no par value 2017-12-15 4 S 0 800 261.019 D 110623 D Ordinary Shares, no par value 2017-12-18 4 S 0 789 264.377 D 109834 D Stock Option (Right to Buy) 32.39 2017-12-15 4 M 0 10000 0 D 2018-03-07 Ordinary Shares, no par value 10000.0 0 D Stock Option (Right to Buy) 38.99 2017-12-15 4 M 0 10000 0 D 2020-09-12 Ordinary Shares, no par value 10000.0 1537916 D Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Includes 4,507 Restricted Share Units. Transaction executed in multiple trades at prices ranging from $258.46 to $259.43 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 $259.46 to $260.42 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 $260.52 to $261.65 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 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. The option is fully vested and exercisable. Share price performance option (the "2006 Option") granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan (the "Avago Plan"). The 2006 Option is fully vested and the exercisability requirements for the 2006 Option have been met. /s/ Noelle Matteson, Attorney-in-Fact for Hock E. Tan 2017-12-19