0000899243-18-010288.txt : 20180417
0000899243-18-010288.hdr.sgml : 20180417
20180417181809
ACCESSION NUMBER: 0000899243-18-010288
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180413
FILED AS OF DATE: 20180417
DATE AS OF CHANGE: 20180417
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hao Kenneth
CENTRAL INDEX KEY: 0001415357
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38449
FILM NUMBER: 18759896
MAIL ADDRESS:
STREET 1: C/O SILVER LAKE PARTNERS
STREET 2: 2775 SAND HILL ROAD, SUITE 100
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Silver Lake Group, L.L.C.
CENTRAL INDEX KEY: 0001418226
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38449
FILM NUMBER: 18759901
BUSINESS ADDRESS:
STREET 1: 2775 SAND HILL ROAD, SUITE 100
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: 6502338120
MAIL ADDRESS:
STREET 1: 2775 SAND HILL ROAD, SUITE 100
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Silver Lake Technology Associates V, L.P.
CENTRAL INDEX KEY: 0001737657
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38449
FILM NUMBER: 18759899
BUSINESS ADDRESS:
STREET 1: C/O SILVER LAKE
STREET 2: 2775 SAND HILL ROAD, SUITE 100
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: 650-233-8120
MAIL ADDRESS:
STREET 1: C/O SILVER LAKE
STREET 2: 2775 SAND HILL ROAD, SUITE 100
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Silver Lake Technology Investors V, L.P.
CENTRAL INDEX KEY: 0001735863
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38449
FILM NUMBER: 18759897
BUSINESS ADDRESS:
STREET 1: C/O SILVER LAKE
STREET 2: 2775 SAND HILL ROAD, SUITE 100
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: (650)233-8120
MAIL ADDRESS:
STREET 1: C/O SILVER LAKE
STREET 2: 2775 SAND HILL ROAD, SUITE 100
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SLTA V (GP), L.L.C.
CENTRAL INDEX KEY: 0001737652
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38449
FILM NUMBER: 18759900
BUSINESS ADDRESS:
STREET 1: C/O SILVER LAKE
STREET 2: 2775 SAND HILL ROAD, SUITE 100
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: 650-233-8120
MAIL ADDRESS:
STREET 1: C/O SILVER LAKE
STREET 2: 2775 SAND HILL ROAD, SUITE 100
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Silver Lake Partners V DE (AIV), L.P.
CENTRAL INDEX KEY: 0001737659
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38449
FILM NUMBER: 18759898
BUSINESS ADDRESS:
STREET 1: C/O SILVER LAKE
STREET 2: 2775 SAND HILL ROAD, SUITE 100
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: 650-233-8120
MAIL ADDRESS:
STREET 1: C/O SILVER LAKE
STREET 2: 2775 SAND HILL ROAD, SUITE 100
CITY: MENLO PARK
STATE: CA
ZIP: 94025
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: 1031
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
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-04-13
0
0001730168
Broadcom Inc.
AVGO
0001418226
Silver Lake Group, L.L.C.
C/O SILVER LAKE
2775 SAND HILL ROAD, SUITE 100
MENLO PARK
CA
94025
1
0
0
0
0001737652
SLTA V (GP), L.L.C.
C/O SILVER LAKE
2775 SAND HILL ROAD, SUITE 100
MENLO PARK
CA
94025
1
0
0
0
0001737657
Silver Lake Technology Associates V, L.P.
C/O SILVER LAKE
2775 SAND HILL ROAD, SUITE 100
MENLO PARK
CA
94025
1
0
0
0
0001737659
Silver Lake Partners V DE (AIV), L.P.
C/O SILVER LAKE
2775 SAND HILL ROAD, SUITE 100
MENLO PARK
CA
94025
1
0
0
0
0001735863
Silver Lake Technology Investors V, L.P.
C/O SILVER LAKE
2775 SAND HILL ROAD, SUITE 100
MENLO PARK
CA
94025
1
0
0
0
0001415357
Hao Kenneth
C/O SILVER LAKE PARTNERS
2775 SAND HILL ROAD, SUITE 100
MENLO PARK
CA
94025
1
0
0
0
Common Stock, $0.001 par value
2018-04-13
4
P
0
4976
245.50
A
4976
I
Held through Silver Lake Partners V DE (AIV), L.P.
Common Stock, $0.001 par value
2018-04-13
4
P
0
71
245.50
A
71
I
Held through Silver Lake Technology Investors V, L.P.
Common Stock, $0.001 par value
2018-04-13
4
P
0
47594
246.38
A
52570
I
Held through Silver Lake Partners V DE (AIV), L.P.
Common Stock, $0.001 par value
2018-04-13
4
P
0
681
246.38
A
752
I
Held through Silver Lake Technology Investors V, L.P.
Common Stock, $0.001 par value
2018-04-13
4
P
0
99517
247.50
A
152087
I
Held through Silver Lake Partners V DE (AIV), L.P.
Common Stock, $0.001 par value
2018-04-13
4
P
0
1424
247.50
A
2176
I
Held through Silver Lake Technology Investors V, L.P.
Common Stock, $0.001 par value
2018-04-13
4
P
0
121864
248.33
A
273951
I
Held through Silver Lake Partners V DE (AIV), L.P.
Common Stock, $0.001 par value
2018-04-13
4
P
0
1744
248.33
A
3920
I
Held through Silver Lake Technology Investors V, L.P.
Common Stock, $0.001 par value
2018-04-13
4
P
0
65947
249.17
A
339898
I
Held through Silver Lake Partners V DE (AIV), L.P.
Common Stock, $0.001 par value
2018-04-13
4
P
0
943
249.17
A
4863
I
Held through Silver Lake Technology Investors V, L.P.
Common Stock, $0.001 par value
1587737
I
Held through SLP Argo I Ltd.
Common Stock, $0.001 par value
30830
I
Held through SLP Argo II Ltd.(
Common Stock, $0.001 par value
76096
I
See footnote
Common Stock, $0.001 par value
9854
I
See footnote
Common Stock, $0.001 par value
18
I
See footnote
This Form 4 is filed on behalf of Silver Lake Partners V DE (AIV), L.P. ("SLP V"), Silver Lake Technology Investors V, L.P. ("SLTI V"), Silver Lake Technology Associates V, L.P. ("SLTA V"), SLTA V (GP), L.L.C. ("SLTA V GP"), Silver Lake Group, L.L.C. ("SLG") and Mr. Kenneth Y. Hao. SLTA V is the general partner of each of SLP V and SLTI V. SLTA V GP is the general partner of SLTA V. SLG is the managing member of SLTA V GP. Mr. Hao, a Managing Director of SLG, serves as a member of the board of directors of Broadcom Inc. (the "Issuer"). Due to Mr. Hao's role at Silver Lake, it is possible that any or all of SLG, SLTA V GP, SLTA V, SLTI V and SLP V may be deemed to be a director by deputization of the Issuer.
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $244.90 to $245.89, inclusive. The reporting persons undertake 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 purchased at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $245.92 to $246.91, inclusive. The reporting persons undertake 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 purchased at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $246.92 to $247.91, inclusive. The reporting persons undertake 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 purchased at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $247.92 to $248.91, inclusive. The reporting persons undertake 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 purchased at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $248.92 to $249.65, inclusive. The reporting persons undertake 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 purchased at each separate price within the range set forth in this footnote.
These securities are directly held by SLP V. SLTA V, as the general partner of SLP V, SLTA V GP, as the general partner of SLTA V, and SLG, as the managing member of SLTA V GP may be deemed to have indirect beneficial ownership of these securities. However, pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that each of the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for SLP V) disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.
These securities are directly held by SLTI V. SLTA V, as the general partner of SLTI V, SLTA V GP, as the general partner of SLTA V, and SLG, as the managing member of SLTA V GP may be deemed to have indirect beneficial ownership of these securities. However, pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that each of the Reporting Persons are beneficial owners of all securities covered by this filing, and each Reporting Person (except for SLTI V) disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.
These securities are directly held by SLP Argo I Ltd. ("Argo I"). Mr. Hao, as a director of Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP IV"), the sole general partner of Silver Lake Technology Associates IV Cayman, L.P. ("SLTA IV Cayman"), the sole general partner of Silver Lake Partners IV Cayman (AIV II), L.P., the sole shareholder of Argo I, may be deemed to be an indirect beneficial owner of the securities directly owned by Argo I.
These securities are directly held by SLP Argo II Ltd. ("Argo II"). Mr. Hao, as a director of AIV GP IV, the sole general partner of SLTA IV Cayman, the sole general partner of Silver Lake Technology Investors IV Cayman, L.P., the sole shareholder of Argo II, may be deemed to be an indirect beneficial owner of the securities directly owned by Argo II.
These securities are held by Mr. Hao for the benefit of certain entities affiliated with SLG ("Silver Lake"). 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.
These securities are held by Hao Family Trust u/a/d 10/12/99.
These securities are held by Mr. Hao's family limited partnership.
The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. This filing shall not be deemed an admission that any of the Reporting Persons, other than Mr. Hao, is subject to Section 16 of the Exchange Act, and 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 disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any.
By: /s/ Karen M. King; Karen M. King, Managing Director and Chief Legal Officer of Silver Lake Group, L.L.C.
2018-04-17
By: /s/ Karen M. King; Karen M. King, Managing Director and Chief Legal Officer of Silver Lake Group, L.L.C., managing member of SLTA V (GP), L.L.C.
2018-04-17
By: /s/ Karen M. King; Karen M. King, Managing Director and Chief Legal Officer of Silver Lake Group L.L.C., managing member of SLTA V (GP) L.L.C., general partner of Silver Lake Technology Associates V, L.P.
2018-04-17
By: /s/ Karen M. King; Karen M. King, Managing Director and Chief Legal Officer of Silver Lake Group, L.L.C., managing member of SLTA V (GP) L.L.C., GP of Silver Lake Technology Associates V, L.P., GP of Silver Lake Partners V DE (AIV), L.P.
2018-04-17
By: /s/ Karen M. King; Karen M. King, Managing Director and Chief Legal Officer of Silver Lake Group, L.L.C., managing member of SLTA V (GP) L.L.C., GP of Silver Lake Technology Associates V, L.P., GP of Silver Lake Technology Investors V, L.P.
2018-04-17
/s/ Kenneth Y. Hao
2018-04-17