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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Options (right to buy) | $ 35.31 | 03/06/2012 | A | 50,000 | (3) | 03/05/2019 | Ordinary Shares | 50,000 | $ 0 | 50,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bettinger Douglas R C/O AVAGO TECHNOLOGIES US INC. 350 WEST TRIMBLE ROAD SAN JOSE, CA 95131 |
SVP & Chief Financial Officer |
Patricia H. McCall, Attorney-in-Fact for Douglas R. Bettinger | 03/08/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Grant of restricted share units ("RSUs") pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan, (the "Plan"). Upon vesting thereof, the Reporting Person is entitled to receive one (1) ordinary shares for each one (1) RSU. The RSUs vest as to 50% on the seventh business day of the second fiscal month of Avago's second fiscal quarter in each of fiscal years, 2015 and 2016, subject to the Reporting Person's continuing service on the vesting date. |
(2) | Shares held by Douglas R. Bettinger as Trustee for the Bettinger Family Trust, dated June 6, 2007 |
(3) | Employee option to purchase ordinary shares granted pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan. The option vests as to 50% of the shares subject thereto on each of March 6, 2015 and March 6, 2016. |