Avago Technologies LTD Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 32 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-17: Reporting owner Maslowski Anthony E.; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-09-17: Reporting owner Maslowski Anthony E.; Form 4; Security Stock Options (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-09-10: Reporting owner Maslowski Anthony E.; Form 4; Security Stock Options (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-09-09: 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.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-12-17 | Maslowski Anthony E. Officer (SVP & Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 55,000 owned after | $35.45 exercise price | 2014-12-19 | |
| 2014-09-17 | Maslowski Anthony E. Officer (Chief Financial Officer) | 4 | Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $20.08 exercise price | 2014-09-18 | |
| 2014-09-10 | Maslowski Anthony E. Officer (Chief Financial Officer) | 4 | Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 5,000 owned after | $20.08 exercise price | 2014-09-12 | |
| 2014-09-09 | MACLEOD DONALD Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,186 0 owned after | $31.49 exercise price | 2014-09-11 | |
| 2014-09-09 | MACLEOD DONALD Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,630 0 owned after | $37.41 exercise price | 2014-09-11 | |
| 2014-09-09 | MACLEOD DONALD Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,854 0 owned after | $35.38 exercise price | 2014-09-11 | |
| 2014-09-05 | 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 | −35,000 0 owned after | $8.12 exercise price | 2014-09-09 | |
| 2014-09-05 | OOI BOON C Officer (SVP, Global Operations) | 4 | Employee Right Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,500 22,500 owned after | $35.45 exercise price | 2014-09-09 | |
| 2014-09-05 | MCCALL PATRICIA H Officer (VP & General Counsel) | 4 | Employee Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $10.22 exercise price | 2014-09-09 | |
| 2014-09-03 | TAN HOCK E Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −240,000 0 owned after | $10.00 exercise price | 2014-09-05 | |
| 2014-09-03 | Guilmart Bruno Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 20,094 owned after | $37.00 exercise price | 2014-09-05 | |
| 2014-06-10 | Kawwas Charlie B Officer (SVP WORLDWIDE SALES) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +120,000 120,000 owned after | $71.86 exercise price | 2014-06-12 | |
| 2014-05-16 holding as of filing | Kawwas Charlie B Officer (SVP WORLDWIDE SALES) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $48.18 exercise price | 2014-05-16 | ||
| 2014-05-16 holding as of filing | Kawwas Charlie B Officer (SVP WORLDWIDE SALES) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $38.92 exercise price | 2014-05-16 | ||
| 2014-05-16 holding as of filing | Kawwas Charlie B Officer (SVP WORLDWIDE SALES) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $62.63 exercise price | 2014-05-16 | ||
| 2014-05-08 holding as of filing | Silver Lake Technology Associates IV Cayman, L.P. | SLP Argo II Ltd. | Silver Lake Partners IV Cayman (AIV II), L.P. | Silver Lake Technology Investors IV Cayman, L.P. | SLP Argo I Ltd. | Silver Lake (Offshore) AIV GP IV, Ltd. Director | Director | Director | Director | Director | Director | 3 | Stock Option (right to buy) Derivative · Indirect · See Footnote | Holding | $31.49 exercise price | 2014-05-08 | ||
| 2014-05-08 holding as of filing | Silver Lake Technology Associates IV Cayman, L.P. | SLP Argo II Ltd. | Silver Lake Partners IV Cayman (AIV II), L.P. | Silver Lake Technology Investors IV Cayman, L.P. | SLP Argo I Ltd. | Silver Lake (Offshore) AIV GP IV, Ltd. Director | Director | Director | Director | Director | Director | 3 | Stock Option (right to buy) Derivative · Indirect · See Footnote | Holding | $37.41 exercise price | 2014-05-08 | ||
| 2014-04-09 | EGGEBRECHT LEWIS C Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,361 15,361 owned after | $62.47 exercise price | 2014-04-11 | |
| 2014-04-09 | DILLER JAMES Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,223 5,223 owned after | $62.47 exercise price | 2014-04-11 | |
| 2014-04-09 | MACLEOD DONALD Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,223 5,223 owned after | $62.47 exercise price | 2014-04-11 | |
| 2014-04-09 | LIEN JUSTINE Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,223 5,223 owned after | $62.47 exercise price | 2014-04-11 | |
| 2014-04-09 | Hao Kenneth Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,223 5,223 owned after | $62.47 exercise price | 2014-04-11 | |
| 2014-03-13 | MCCALL PATRICIA H Officer (VP & General Counsel) | 4 | Employee Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 5,000 owned after | $10.22 exercise price | 2014-03-13 | |
| 2014-03-12 | Ingram Bryan Officer (SVP & COO) | 4 | Employee Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,000 0 owned after | $10.00 exercise price | 2014-03-14 | |
| 2014-03-12 | Ingram Bryan Officer (SVP & COO) | 4 | Employee Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −75,000 75,000 owned after | $32.39 exercise price | 2014-03-14 | |
| 2014-03-12 | Ingram Bryan Officer (SVP & COO) | 4 | Employee Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 60,000 owned after | $35.45 exercise price | 2014-03-14 | |
| 2014-03-11 | MCCALL PATRICIA H Officer (VP & General Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +36,000 36,000 owned after | $62.02 exercise price | 2014-03-13 | |
| 2014-03-11 | Maslowski Anthony E. Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $62.02 exercise price | 2014-03-13 | |
| 2014-03-11 | OOI BOON C Officer (SVP, Global Operations) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $62.02 exercise price | 2014-03-13 | |
| 2014-03-11 | Ingram Bryan Officer (SVP & COO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +240,000 240,000 owned after | $62.02 exercise price | 2014-03-13 | |
| 2014-03-03 | Maslowski Anthony E. Officer (Chief Financial Officer) | 4 | Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $10.00 exercise price | 2014-03-05 | |
| 2014-01-02 | TAN HOCK E Director, Officer (President and CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +750,000 750,000 owned after | $52.65 exercise price | 2014-01-03 |