0001730168-20-000130.txt : 20200702 0001730168-20-000130.hdr.sgml : 20200702 20200702165243 ACCESSION NUMBER: 0001730168-20-000130 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200630 FILED AS OF DATE: 20200702 DATE AS OF CHANGE: 20200702 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: 201010353 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_159372308671372.xml FORM 4 X0306 4 2020-06-30 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 2020-06-30 4 M 0 57171 38.99 A 304273 D Common Stock, $0.001 par value 2020-06-30 4 S 0 1300 308.742 D 302973 D Common Stock, $0.001 par value 2020-06-30 4 S 0 1400 309.757 D 301573 D Common Stock, $0.001 par value 2020-06-30 4 S 0 4489 310.962 D 297084 D Common Stock, $0.001 par value 2020-06-30 4 S 0 1252 311.734 D 295832 D Common Stock, $0.001 par value 2020-06-30 4 S 0 12439 313.154 D 283393 D Common Stock, $0.001 par value 2020-06-30 4 S 0 18139 314.197 D 265254 D Common Stock, $0.001 par value 2020-06-30 4 S 0 10947 314.94 D 254307 D Common Stock, $0.001 par value 2020-06-30 4 S 0 6370 315.956 D 247937 D Common Stock, $0.001 par value 2020-06-30 4 S 0 835 316.77 D 247102 D Stock Option (Right to Buy) 38.99 2020-06-30 4 M 0 57171 0 D 2020-09-21 Common Stock, $0.001 par value 57171.0 571715 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 $308.12 to $309.11 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 $309.18 to $310.12 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 $310.38 to $311.27 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 $311.43 to $312.39 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 $312.55 to $313.54 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 $313.55 to $314.54 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 $314.55 to $315.53 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 $315.55 to $316.50 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 $316.55 to $316.88 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. 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 2020-07-02