Form 4 for AVGO Broadcom

Accepted 2022-11-02 00:00:00 ET · period of report 2022-10-31 · accession 0001730168-22-000105 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
DM	2022-11-02	2022-01-04+	AVGO	TAN HOCK E	Pres, CEO, Dir	G - Gift	$0.00	-84.0K	286.7K	-23%	$0
D	2022-11-02	2022-10-31	AVGO	TAN HOCK E	Pres, CEO, Dir	A - Grant	$0.00	+1.00M	1.00M	New	$0

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock, $0.001 par value	2022-03-25	G	D	16,000	$0.00	250,677	D	—	—
2	Common	Common Stock, $0.001 par value	2022-03-23	G	D	20,000	$0.00	266,677	D	—	—
3	Common	Common Stock, $0.001 par value	2022-01-04	G	D	48,000	$0.00	286,677	D	—	—
4	Derivative	Stock Price Performance Stock Unit	2022-10-31	A	A	1,000,000	$0.00	1,000,000	D	$0.00 · — to —	1,000,000 Common Stock, $0.001 par value	(F2) Stock price performance stock unit award (the "PSU") granted pursuant to the Broadcom Inc. 2012 Stock Incentive Plan. Subject to the terms and conditions of the PSU agreement, the PSU vests on October 31, 2027. The number of shares that may be earned is based on achieving pre-set price hurdles (the "Price Contingency"). No portion of the PSU will be earned unless the consecutive 20-trading days closing price average of the Issuer's common stock meets or exceeds the Price Contingency during the period beginning after the third anniversary of the grant date and concluding on the fifth anniversary of the grant date. (F3) If the Price Contingency is not met on or prior to the fifth anniversary of the grant date or such earlier date as provided in the PSU agreement, all PSUs will immediately be forfeited.