1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Performance Based Restricted Stock Units
|
Â
(2)
|
Â
(3)
|
Ordinary Shares, no par value
|
8,000
|
$
0
|
D
|
Â
|
Performance Based Restricted Stock Units
|
Â
(4)
|
Â
(5)
|
Ordinary Shares, no par value
|
7,000
|
$
0
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(6)
|
06/09/2021 |
Ordinary Shares, no par value
|
30,000
|
$
71.86
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(7)
|
03/01/2021 |
Ordinary Shares, no par value
|
2,252
|
$
62.63
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(8)
|
03/01/2020 |
Ordinary Shares, no par value
|
1,650
|
$
38.92
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(9)
|
03/01/2019 |
Ordinary Shares, no par value
|
717
|
$
48.18
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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) |
Includes 22,639 Restricted Stock Units ("RSUs"). |
(2) |
Share price performance RSU (the "2016 Performance RSU") granted on March 15, 2016 pursuant to the Avago Technologies Limited 2009 Equity Incentive Award Plan (the "Avago Plan"). The 2016 Performance RSU vests over four years, with 25% vesting on each anniversary of the date of grant. However, no portion of the 2016 Performance RSU shall vest unless and until the average of the closing prices of the Issuer's ordinary shares (as reported on the stock exchange on which the shares are listed), over a twenty consecutive trading day period is equal to or greater than 120% of the fair market value of the Issuer's ordinary shares on the date of grant (the "Price Contingency"). |
(3) |
In the event that the Price Contingency is not met on or prior to the earlier of the fourth anniversary of March 15, 2016, or the Reporting Person's termination of services with the Issuer, all 2016 Performance RSUs subject to the award which have not previously vested shall immediately be forfeited. |
(4) |
Share price performance RSU (the "2015 Performance RSU") granted on March 15, 2015 pursuant to the Avago Plan. The 2015 Performance RSU vests over four years, with 25% vesting on each anniversary of the date of grant. However, no portion of the 2015 Performance RSU shall vest unless and until the Price Contingency is met. |
(5) |
In the event that the Price Contingency is not met on or prior to the earlier of the fourth anniversary of March 15, 2015, or the Reporting Person's termination of services with the Issuer, all 2015 Performance RSUs subject to the award which have not previously vested shall immediately be forfeited. |
(6) |
Share price performance option (the "2014 Option") granted on June 10, 2014 pursuant to the Avago Plan. The 2014 Option vests over four years, with 25% vesting on each anniversary of the date of grant, such that the 2014 Option will be fully vested on June 10, 2018, subject to the Reporting Person's continuing service on each vesting date. The exercisability requirements for the 2014 Option have been met. |
(7) |
Option to purchase ordinary shares of the Issuer, granted pursuant to the LSI Corporation 2003 Equity Incentive Plan, assumed by the Issuer upon the closing of its acquisition of LSI on May 6, 2014 (the "LSI Plan"). The option vests over 4 years, with one-fourth vesting on March 1 of each of 2015, 2016, 2017, 2018, subject to the Reporting Person's continuing service on each vesting date. |
(8) |
Option to purchase ordinary shares of the Issuer, granted pursuant to the LSI Plan. The option vests over 3 years, with one-third vesting on March 1 of each of 2015, 2016, 2017, subject to the Reporting Person's continuing service on each vesting date. |
(9) |
The option is fully vested and exercisable. |