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