4//SEC Filing
Hao Kenneth 4
Accession 0000899243-16-035764
CIK 0001649338other
Filed
Dec 15, 7:00 PM ET
Accepted
Dec 16, 4:09 PM ET
Size
31.0 KB
Accession
0000899243-16-035764
Insider Transaction Report
Form 4
Broadcom LtdAVGO
Transactions
- Gift
Ordinary Shares, no par value
2016-12-16−3,285→ 0 total(indirect: See footnote) - Sale
Ordinary Shares, no par value
2016-12-15$180.96/sh−345$62,431→ 75,927 total(indirect: Held through SLP Argo II Ltd.) - Sale
Ordinary Shares, no par value
2016-12-15$180.33/sh−7,003$1,262,851→ 68,924 total(indirect: Held through SLP Argo II Ltd.) - Gift
Ordinary Shares, no par value
2016-12-15−57→ 3,285 total(indirect: See footnote) - Sale
Ordinary Shares, no par value
2016-12-15$180.96/sh−17,758$3,213,488→ 3,910,334 total(indirect: Held through SLP Argo I Ltd.) - Sale
Ordinary Shares, no par value
2016-12-15$180.33/sh−360,691$65,043,408→ 3,549,643 total(indirect: Held through SLP Argo I Ltd.)
Holdings
- 66,753(indirect: See footnote)
Ordinary Shares, no par value
- 18(indirect: See footnote)
Ordinary Shares, no par value
Transactions
- Sale
Ordinary Shares, no par value
2016-12-15$180.96/sh−345$62,431→ 75,927 total(indirect: Held through SLP Argo II Ltd.) - Sale
Ordinary Shares, no par value
2016-12-15$180.33/sh−7,003$1,262,851→ 68,924 total(indirect: Held through SLP Argo II Ltd.) - Gift
Ordinary Shares, no par value
2016-12-16−3,285→ 0 total(indirect: See footnote) - Gift
Ordinary Shares, no par value
2016-12-15−57→ 3,285 total(indirect: See footnote) - Sale
Ordinary Shares, no par value
2016-12-15$180.96/sh−17,758$3,213,488→ 3,910,334 total(indirect: Held through SLP Argo I Ltd.) - Sale
Ordinary Shares, no par value
2016-12-15$180.33/sh−360,691$65,043,408→ 3,549,643 total(indirect: Held through SLP Argo I Ltd.)
Holdings
- 66,753(indirect: See footnote)
Ordinary Shares, no par value
- 18(indirect: See footnote)
Ordinary Shares, no par value
Transactions
- Sale
Ordinary Shares, no par value
2016-12-15$180.96/sh−17,758$3,213,488→ 3,910,334 total(indirect: Held through SLP Argo I Ltd.) - Sale
Ordinary Shares, no par value
2016-12-15$180.33/sh−360,691$65,043,408→ 3,549,643 total(indirect: Held through SLP Argo I Ltd.) - Sale
Ordinary Shares, no par value
2016-12-15$180.96/sh−345$62,431→ 75,927 total(indirect: Held through SLP Argo II Ltd.) - Gift
Ordinary Shares, no par value
2016-12-16−3,285→ 0 total(indirect: See footnote) - Sale
Ordinary Shares, no par value
2016-12-15$180.33/sh−7,003$1,262,851→ 68,924 total(indirect: Held through SLP Argo II Ltd.) - Gift
Ordinary Shares, no par value
2016-12-15−57→ 3,285 total(indirect: See footnote)
Holdings
- 66,753(indirect: See footnote)
Ordinary Shares, no par value
- 18(indirect: See footnote)
Ordinary Shares, no par value
SLP Argo II Ltd.
Director
Transactions
- Sale
Ordinary Shares, no par value
2016-12-15$180.33/sh−7,003$1,262,851→ 68,924 total(indirect: Held through SLP Argo II Ltd.) - Sale
Ordinary Shares, no par value
2016-12-15$180.96/sh−17,758$3,213,488→ 3,910,334 total(indirect: Held through SLP Argo I Ltd.) - Sale
Ordinary Shares, no par value
2016-12-15$180.33/sh−360,691$65,043,408→ 3,549,643 total(indirect: Held through SLP Argo I Ltd.) - Sale
Ordinary Shares, no par value
2016-12-15$180.96/sh−345$62,431→ 75,927 total(indirect: Held through SLP Argo II Ltd.) - Gift
Ordinary Shares, no par value
2016-12-15−57→ 3,285 total(indirect: See footnote) - Gift
Ordinary Shares, no par value
2016-12-16−3,285→ 0 total(indirect: See footnote)
Holdings
- 66,753(indirect: See footnote)
Ordinary Shares, no par value
- 18(indirect: See footnote)
Ordinary Shares, no par value
Hao Kenneth
Director
Transactions
- Sale
Ordinary Shares, no par value
2016-12-15$180.96/sh−17,758$3,213,488→ 3,910,334 total(indirect: Held through SLP Argo I Ltd.) - Sale
Ordinary Shares, no par value
2016-12-15$180.96/sh−345$62,431→ 75,927 total(indirect: Held through SLP Argo II Ltd.) - Sale
Ordinary Shares, no par value
2016-12-15$180.33/sh−360,691$65,043,408→ 3,549,643 total(indirect: Held through SLP Argo I Ltd.) - Sale
Ordinary Shares, no par value
2016-12-15$180.33/sh−7,003$1,262,851→ 68,924 total(indirect: Held through SLP Argo II Ltd.) - Gift
Ordinary Shares, no par value
2016-12-15−57→ 3,285 total(indirect: See footnote) - Gift
Ordinary Shares, no par value
2016-12-16−3,285→ 0 total(indirect: See footnote)
Holdings
- 66,753(indirect: See footnote)
Ordinary Shares, no par value
- 18(indirect: See footnote)
Ordinary Shares, no par value
Transactions
- Sale
Ordinary Shares, no par value
2016-12-15$180.96/sh−345$62,431→ 75,927 total(indirect: Held through SLP Argo II Ltd.) - Gift
Ordinary Shares, no par value
2016-12-16−3,285→ 0 total(indirect: See footnote) - Sale
Ordinary Shares, no par value
2016-12-15$180.33/sh−360,691$65,043,408→ 3,549,643 total(indirect: Held through SLP Argo I Ltd.) - Gift
Ordinary Shares, no par value
2016-12-15−57→ 3,285 total(indirect: See footnote) - Sale
Ordinary Shares, no par value
2016-12-15$180.96/sh−17,758$3,213,488→ 3,910,334 total(indirect: Held through SLP Argo I Ltd.) - Sale
Ordinary Shares, no par value
2016-12-15$180.33/sh−7,003$1,262,851→ 68,924 total(indirect: Held through SLP Argo II Ltd.)
Holdings
- 18(indirect: See footnote)
Ordinary Shares, no par value
- 66,753(indirect: See footnote)
Ordinary Shares, no par value
SLP Argo I Ltd.
Director
Transactions
- Sale
Ordinary Shares, no par value
2016-12-15$180.96/sh−17,758$3,213,488→ 3,910,334 total(indirect: Held through SLP Argo I Ltd.) - Gift
Ordinary Shares, no par value
2016-12-15−57→ 3,285 total(indirect: See footnote) - Gift
Ordinary Shares, no par value
2016-12-16−3,285→ 0 total(indirect: See footnote) - Sale
Ordinary Shares, no par value
2016-12-15$180.96/sh−345$62,431→ 75,927 total(indirect: Held through SLP Argo II Ltd.) - Sale
Ordinary Shares, no par value
2016-12-15$180.33/sh−7,003$1,262,851→ 68,924 total(indirect: Held through SLP Argo II Ltd.) - Sale
Ordinary Shares, no par value
2016-12-15$180.33/sh−360,691$65,043,408→ 3,549,643 total(indirect: Held through SLP Argo I Ltd.)
Holdings
- 66,753(indirect: See footnote)
Ordinary Shares, no par value
- 18(indirect: See footnote)
Ordinary Shares, no par value
Footnotes (11)
- [F1]This Form 4 is filed on behalf of SLP Argo I Ltd. ("Argo I"), SLP Argo II Ltd. ("Argo II"), Silver Lake Partners IV Cayman (AIV II), L.P. ("AIV II"), Silver Lake Technology Investors IV Cayman, L.P. ("SLTI IV"), Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV") and Mr. Kenneth Y. Hao. AIV II is the sole shareholder of Argo I. SLTI IV is the sole shareholder of Argo II. SLTA IV Cayman is the sole general partner of AIV II and SLTI IV, and AIV GP IV is the sole general partner of SLTA IV Cayman. Each of AIV GP IV, SLTA IV Cayman, SLTI IV, AIV II, Argo I and Argo II may be deemed to be a director by deputization of Broadcom Limited (the "Issuer"). Mr. Hao is a director of the Issuer.
- [F10]These securities are held by Mr. Hao for the benefit of certain entities affiliated with AIV GP IV ("Silver Lake"). Mr. Hao serves as a director of the Issuer. Pursuant to Mr. Hao's arrangement with Silver Lake with respect to director compensation, upon the sale of these securities, the proceeds from such sale(s) are expected to be remitted to Silver Lake and/or its limited partners. Mr. Hao, through his role at Silver Lake and its affiliates, may be deemed to have an indirect interest in these securities. Mr. Hao is a director of AIV GP IV.
- [F11]These securities are held by Mr. Hao's family limited partnership.
- [F2]AIV II, as the sole shareholder of Argo I, SLTA IV Cayman, as the sole general partner of AIV II, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo I and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo I under Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo I) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any.
- [F3]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.88 to $181.20, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- [F4]These securities are directly held by Argo I. See footnote (2).
- [F5]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.88 to $180.87, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- [F6]SLTI IV, as the sole shareholder of Argo II, SLTA IV Cayman, as the sole general partner of SLTI IV, AIV GP IV, as the sole general partner of SLTA IV Cayman, and Mr. Hao, as a director of Argo II and AIV GP IV, may each be deemed to be the indirect beneficial owner of the securities directly owned by Argo II under Rule 16a-1(a)(2) of the Exchange Act. However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for Argo II) disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any.
- [F7]These securities are directly held by Argo II. See footnote (6).
- [F8]Represents a charitable donation of ordinary shares of the Issuer by the Hao Family Trust u/a/d 10/12/99.
- [F9]These securities are held by the Hao Family Trust u/a/d 10/12/99.
Documents
Issuer
Broadcom Ltd
CIK 0001649338
Entity typeother
Related Parties
1- filerCIK 0001415357
Filing Metadata
- Form type
- 4
- Filed
- Dec 15, 7:00 PM ET
- Accepted
- Dec 16, 4:09 PM ET
- Size
- 31.0 KB