Avago Technologies LTD Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 39 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-12-15: Reporting owner MACLEOD DONALD; Form 4; Security Stock Option (Right to Buy; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-09-13: Reporting owner Bettinger Douglas R; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-09-13: Reporting owner Bettinger Douglas R; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-06-29: Reporting owner Ingram Bryan; Form 4; Security Employee 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 |
|---|---|---|---|---|---|---|---|---|
| 2011-12-15 | MACLEOD DONALD Director | 4 | Stock Option (Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 10,000 owned after | $10.22 exercise price | 2011-12-19 | |
| 2011-09-13 | Bettinger Douglas R Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,500 120,000 owned after | $10.68 exercise price | 2011-09-15 | |
| 2011-09-13 | Bettinger Douglas R Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −90,000 60,000 owned after | $10.68 exercise price | 2011-09-15 | |
| 2011-06-29 | Ingram Bryan Officer (SVP & GM, Wireless Semicon Div) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,249 35,834 owned after | $10.22 exercise price | 2011-07-01 | |
| 2011-06-29 | Ingram Bryan Officer (SVP & GM, Wireless Semicon Div) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,416 71,667 owned after | $10.22 exercise price | 2011-07-01 | |
| 2011-06-29 | Ingram Bryan Officer (SVP & GM, Wireless Semicon Div) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,750 12,500 owned after | $5.00 exercise price | 2011-07-01 | |
| 2011-06-29 | Ingram Bryan Officer (SVP & GM, Wireless Semicon Div) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −585 51,668 owned after | $5.00 exercise price | 2011-07-01 | |
| 2011-06-24 | MCCALL PATRICIA H Officer (VP & General Counsel) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 30,000 owned after | $10.22 exercise price | 2011-06-27 | |
| 2011-06-22 | Ingram Bryan Officer (SVP & GM, Wireless Semicon Div) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −47,482 52,253 owned after | $5.00 exercise price | 2011-06-23 | |
| 2011-06-07 | Ingram Bryan Officer (SVP & GM, Wireless Semicon Div) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,568 0 owned after | $5.00 exercise price | 2011-06-09 | |
| 2011-06-07 | Ingram Bryan Officer (SVP & GM, Wireless Semicon Div) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −29,432 99,735 owned after | $5.00 exercise price | 2011-06-09 | |
| 2011-05-27 | OOI BOON C Officer (SVP, Global Operations) | 4/A | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,837 105,000 owned after | $8.12 exercise price | 2011-06-09 | |
| 2011-05-27 | OOI BOON C Officer (SVP, Global Operations) | 4/A | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −70,000 105,000 owned after | $8.12 exercise price | 2011-06-09 | |
| 2011-05-27 | OOI BOON C Officer (SVP, Global Operations) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,837 105,000 owned after | $8.12 exercise price | 2011-05-31 | |
| 2011-05-27 | OOI BOON C Officer (SVP, Global Operations) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −70,000 105,000 owned after | $8.12 exercise price | 2011-05-31 | |
| 2011-05-27 | Ingram Bryan Officer (SVP & GM, Wireless Semicon Div) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −24,000 36,000 owned after | $10.00 exercise price | 2011-05-31 | |
| 2011-05-27 | Ingram Bryan Officer (SVP & GM, Wireless Semicon Div) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,000 56,083 owned after | $10.22 exercise price | 2011-05-31 | |
| 2011-04-06 | DILLER JAMES Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $5.00 exercise price | 2011-04-07 | |
| 2011-03-30 | CLAMMER ADAM Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,186 7,186 owned after | $31.49 exercise price | 2011-04-01 | |
| 2011-03-30 | Hao Kenneth | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,186 7,186 owned after | $31.49 exercise price | 2011-04-01 | |
| 2011-03-30 | DILLER JAMES Director | 4 | Stock Option (RIght to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,186 7,186 owned after | $31.49 exercise price | 2011-04-01 | |
| 2011-03-30 | MACLEOD DONALD Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,186 7,186 owned after | $31.49 exercise price | 2011-04-01 | |
| 2011-03-14 | Ingram Bryan Officer (See Remarks Below) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −28,750 10,568 owned after | $5.00 exercise price | 2011-03-16 | |
| 2011-03-14 | Ingram Bryan Officer (See Remarks Below) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −31,250 0 owned after | $5.00 exercise price | 2011-03-16 | |
| 2011-03-14 | LIEN JUSTINE Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 30,000 owned after | $10.68 exercise price | 2011-03-16 | |
| 2011-03-08 | Bettinger Douglas R Officer (SVP and CFO) | 4 | Employee Stock Options (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $32.39 exercise price | 2011-03-10 | |
| 2011-03-08 | Ingram Bryan Officer (See Remarks Below) | 4 | Employee 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 | $32.39 exercise price | 2011-03-10 | |
| 2011-03-08 | TAN HOCK E Director, Officer (President and CEO) | 4 | Employee Stock Options (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +600,000 600,000 owned after | $32.39 exercise price | 2011-03-10 | |
| 2011-03-01 | DAVIDSON JAMES | Hao Kenneth | | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $5.00 exercise price | 2011-03-03 | |
| 2011-03-01 | DAVIDSON JAMES | Hao Kenneth | | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $5.00 exercise price | 2011-03-03 | |
| 2011-02-14 | Hsuan John Min-Chih Director | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,201 17,201 owned after | $34.04 exercise price | 2011-04-01 | |
| 2011-02-14 | Hsuan John Min-Chih Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,201 17,201 owned after | $34.04 exercise price | 2011-02-16 | |
| 2011-02-14 | 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 | −37,178 0 owned after | $5.00 exercise price | 2011-02-15 | |
| 2011-02-14 | 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 | −766,922 570,002 owned after | $5.00 exercise price | 2011-02-15 | |
| 2011-02-14 | 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 | −60,000 240,000 owned after | $10.00 exercise price | 2011-02-15 | |
| 2011-01-18 | OOI BOON C Officer (SVP, Global Operations) | 4 | Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,000 106,837 owned after | $8.12 exercise price | 2011-01-19 | |
| 2011-01-11 | 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 | −102,407 37,178 owned after | $5.00 exercise price | 2011-01-11 | |
| 2011-01-11 | 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 | −88,076 1,336,924 owned after | $5.00 exercise price | 2011-01-11 | |
| 2011-01-10 | 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 | −181,165 139,585 owned after | $5.00 exercise price | 2011-01-11 |