0001730168-20-000115.txt : 20200618 0001730168-20-000115.hdr.sgml : 20200618 20200618171129 ACCESSION NUMBER: 0001730168-20-000115 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200616 FILED AS OF DATE: 20200618 DATE AS OF CHANGE: 20200618 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: 001-38449 FILM NUMBER: 20973468 MAIL ADDRESS: STREET 1: BROADCOM INC. STREET 2: 1320 RIDDER PARK DRIVE CITY: SAN JOSE STATE: CA ZIP: 95131 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_159251467213961.xml FORM 4 X0306 4 2020-06-16 0 0001730168 Broadcom Inc. AVGO 0001211588 TAN HOCK E C/O BROADCOM INC. 1320 RIDDER PARK DRIVE SAN JOSE CA 95131 1 1 0 0 President and CEO Common Stock, $0.001 par value 2020-06-16 4 M 0 57171 38.99 A 227213 D Common Stock, $0.001 par value 2020-06-16 4 S 0 100 305.32 D 227113 D Common Stock, $0.001 par value 2020-06-16 4 S 0 600 306.918 D 226513 D Common Stock, $0.001 par value 2020-06-16 4 S 0 1995 308.091 D 224518 D Common Stock, $0.001 par value 2020-06-16 4 S 0 11570 309.011 D 212948 D Common Stock, $0.001 par value 2020-06-16 4 S 0 13504 309.888 D 199444 D Common Stock, $0.001 par value 2020-06-16 4 S 0 12165 310.915 D 187279 D Common Stock, $0.001 par value 2020-06-16 4 S 0 9048 311.872 D 178231 D Common Stock, $0.001 par value 2020-06-16 4 S 0 5659 313.244 D 172572 D Common Stock, $0.001 par value 2020-06-16 4 S 0 2530 313.939 D 170042 D Stock Option (Right to Buy) 38.99 2020-06-16 4 M 0 57171 0 D 2020-09-21 Common Stock, $0.001 par value 57171.0 686057 D Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Includes 1,502 restricted stock units. Transaction executed in multiple trades at prices ranging from $306.47 to $307.38 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 $307.48 to $308.41 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 $308.48 to $309.46 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 $309.48 to $310.46 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 $310.50 to $311.49 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 $311.50 to $312.49 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 $312.71 to $313.64 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. Transaction executed in multiple trades at prices ranging from $313.72 to $314.30 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 granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan. This option is fully vested and the exercisability requirements for this option have been met. /s/ Noelle Matteson, Attorney-in-Fact for Hock E. Tan 2020-06-18