Avago Technologies LTD Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 70 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-08-18: Reporting owner TAN HOCK E; Form 4; Security Stock Options (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-08-18: Reporting owner Ingram Bryan; Form 4; Security Stock Options (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-08-18: Reporting owner Henderson Jeffrey S; Form 4; Security Stock Options (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-08-18: Reporting owner Henderson Jeffrey S; Form 4; Security Stock Options (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-08-18 | TAN HOCK E Director, Officer (President and CEO) | 4 | Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −45,183 729,102 owned after | $5.00 exercise price | 2009-08-20 | |
| 2009-08-18 | Ingram Bryan Officer (SVP & GM,Wireless Semicon. Div) | 4 | Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,575 50,151 owned after | $1.25 exercise price | 2009-08-20 | |
| 2009-08-18 | Henderson Jeffrey S Officer (SVP, Strategy and Bus. Dev.) | 4 | Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,020 0 owned after | $1.25 exercise price | 2009-08-20 | |
| 2009-08-18 | Henderson Jeffrey S Officer (SVP, Strategy and Bus. Dev.) | 4 | Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,188 41,764 owned after | $1.25 exercise price | 2009-08-20 | |
| 2009-08-11 | Henderson Jeffrey S Officer (SVP, Strategy and Bus. Dev.) | 4 | Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,972 2,020 owned after | $1.25 exercise price | 2009-08-12 | |
| 2009-08-11 | Henderson Jeffrey S Officer (SVP, Strategy and Bus. Dev.) | 4 | Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,448 0 owned after | $1.25 exercise price | 2009-08-12 | |
| 2009-08-11 | Henderson Jeffrey S Officer (SVP, Strategy and Bus. Dev.) | 4 | Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,992 0 owned after | $1.25 exercise price | 2009-08-12 | |
| 2009-08-11 | Henderson Jeffrey S Officer (SVP, Strategy and Bus. Dev.) | 4 | Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −79 0 owned after | $1.25 exercise price | 2009-08-12 | |
| 2009-08-11 | Henderson Jeffrey S Officer (SVP, Strategy and Bus. Dev.) | 4 | Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,891 0 owned after | $1.25 exercise price | 2009-08-12 | |
| 2009-08-11 | TAN HOCK E Director, Officer (President and CEO) | 4 | Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −150,715 774,285 owned after | $5.00 exercise price | 2009-08-12 | |
| 2009-08-11 | Ingram Bryan Officer (SVP & GM,Wireless Semicon. Div) | 4 | Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,940 59,726 owned after | $1.25 exercise price | 2009-08-12 | |
| 2009-08-05 | Ingram Bryan Officer (SVP & GM,Wireless Semicon. Div) | 4 | Stock Options (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $15.00 exercise price | 2009-08-07 | |
| 2009-08-05 | Henderson Jeffrey S Officer (SVP, Strategy and Bus. Dev.) | 4 | Stock Options (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $15.00 exercise price | 2009-08-07 | |
| 2009-08-05 | TAN HOCK E Director, Officer (President and CEO) | 4 | Stock Options (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $15.00 exercise price | 2009-08-07 | |
| 2009-08-05 | MCCALL PATRICIA H Officer (Vice President,General Counsel) | 4 | Stock Options (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $15.00 exercise price | 2009-08-07 | |
| 2009-08-05 | DANESH FARIBA Officer (SVP & GM,Fiber Opt. Prod. Div.) | 4 | Stock Options (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $15.00 exercise price | 2009-08-07 | |
| 2009-08-05 | Bettinger Douglas R Officer (SVP and CFO) | 4 | Stock Options (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $15.00 exercise price | 2009-08-07 | |
| 2009-08-05 holding as of filing | Tan Bock Seng Director | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | OOI BOON C Officer (SVP, Global Operations) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $8.12 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | OOI BOON C Officer (SVP, Global Operations) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $8.12 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | CHANG DICK M Director | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $1.25 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | CHANG DICK M Director | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | CHANG DICK M Director | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Ingram Bryan Officer (SVP & GM,Wireless Semicon. Div) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $1.25 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Ingram Bryan Officer (SVP & GM,Wireless Semicon. Div) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Ingram Bryan Officer (SVP & GM,Wireless Semicon. Div) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Ingram Bryan Officer (SVP & GM,Wireless Semicon. Div) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Ingram Bryan Officer (SVP & GM,Wireless Semicon. Div) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Ingram Bryan Officer (SVP & GM,Wireless Semicon. Div) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $10.22 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Ingram Bryan Officer (SVP & GM,Wireless Semicon. Div) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $10.22 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Ingram Bryan Officer (SVP & GM,Wireless Semicon. Div) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $10.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Bettinger Douglas R Officer (SVP and CFO) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $10.68 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Bettinger Douglas R Officer (SVP and CFO) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $10.68 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | DANESH FARIBA Officer (SVP & GM,Fiber Opt. Prod. Div.) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $6.48 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | DANESH FARIBA Officer (SVP & GM,Fiber Opt. Prod. Div.) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $6.48 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | DANESH FARIBA Officer (SVP & GM,Fiber Opt. Prod. Div.) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $10.22 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | DANESH FARIBA Officer (SVP & GM,Fiber Opt. Prod. Div.) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $10.22 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | DANESH FARIBA Officer (SVP & GM,Fiber Opt. Prod. Div.) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $10.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | MACLEOD DONALD Director | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $10.22 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | DILLER JAMES Director | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | TAN HOCK E Director, Officer (President and CEO) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | TAN HOCK E Director, Officer (President and CEO) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | TAN HOCK E Director, Officer (President and CEO) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $10.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Henderson Jeffrey S Officer (SVP, Strategy and Bus. Dev.) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $1.25 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Henderson Jeffrey S Officer (SVP, Strategy and Bus. Dev.) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $1.25 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Henderson Jeffrey S Officer (SVP, Strategy and Bus. Dev.) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $1.25 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Henderson Jeffrey S Officer (SVP, Strategy and Bus. Dev.) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $1.25 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Henderson Jeffrey S Officer (SVP, Strategy and Bus. Dev.) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $1.25 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Henderson Jeffrey S Officer (SVP, Strategy and Bus. Dev.) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $1.25 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Henderson Jeffrey S Officer (SVP, Strategy and Bus. Dev.) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $1.25 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Henderson Jeffrey S Officer (SVP, Strategy and Bus. Dev.) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Henderson Jeffrey S Officer (SVP, Strategy and Bus. Dev.) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Henderson Jeffrey S Officer (SVP, Strategy and Bus. Dev.) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Henderson Jeffrey S Officer (SVP, Strategy and Bus. Dev.) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Henderson Jeffrey S Officer (SVP, Strategy and Bus. Dev.) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $10.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | LIEN JUSTINE Director | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $10.68 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | MCCALL PATRICIA H Officer (Vice President,General Counsel) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $10.22 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | MCCALL PATRICIA H Officer (Vice President,General Counsel) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $10.22 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | MCCALL PATRICIA H Officer (Vice President,General Counsel) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $10.22 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | MCCALL PATRICIA H Officer (Vice President,General Counsel) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $10.22 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | MCCALL PATRICIA H Officer (Vice President,General Counsel) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $10.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | CLAMMER ADAM Director | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | KERKO DAVID M Director | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $10.68 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | KKR Millennium GP LLC | Avago Investment GP Ltd | Avago Investment Partners Limited Partnership 10% Owner | 10% Owner | 10% Owner | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | Gorenflos Reinhard | KKR 1996 OVERSEAS LTD | CARROLL BRIAN F | Janetschek William J | NUTTALL SCOTT C | SAER JOHN K JR | BAE JOSEPH Y | KKR PARTNERS INTERNATIONAL LTD PARTNERSHIP | CALBERT MICHAEL M 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | NAVAB ALEXANDAR JR | LIPSCHULTZ MARC S | KKR Europe II LTD | KKR Associates Europe II, Limited Partnership | FISHER TODD A | KKR European Fund II, Limited Partnership | HUTH JOHANNES P | Garaialde Jacques | MICHELSON MICHAEL W | GOLKIN PERRY 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | SILVER LAKE PARTNERS II CAYMAN LP | SILVER LAKE OFFSHORE AIV GP II LTD | JOYCE JOHN R | SILVER LAKE TECHNOLOGY INVESTORS II CAYMAN LP | DAVIDSON JAMES | SILVER LAKE TECHNOLOGY ASSOCIATES II CAYMAN LP | Hao Kenneth 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | SILVER LAKE PARTNERS II CAYMAN LP | SILVER LAKE OFFSHORE AIV GP II LTD | JOYCE JOHN R | SILVER LAKE TECHNOLOGY INVESTORS II CAYMAN LP | DAVIDSON JAMES | SILVER LAKE TECHNOLOGY ASSOCIATES II CAYMAN LP | Hao Kenneth 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | SILVER LAKE PARTNERS II CAYMAN LP | SILVER LAKE OFFSHORE AIV GP II LTD | JOYCE JOHN R | SILVER LAKE TECHNOLOGY INVESTORS II CAYMAN LP | DAVIDSON JAMES | SILVER LAKE TECHNOLOGY ASSOCIATES II CAYMAN LP | Hao Kenneth 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 | ||
| 2009-08-05 holding as of filing | KKR Millennium LTD | KKR European Fund, Limited Partnership | ROBERTS GEORGE R | KKR Europe LTD | GREENE JAMES H JR | KKR Associates Europe, Limited Partnership | KKR Millennium Fund (Overseas), Limited Partnership | KKR Associates Millennium (Overseas) Limited Partnership | RAETHER PAUL E | KRAVIS HENRY R 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2009-08-05 |