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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 Option (Right to Buy) | $ 8.12 | 01/17/2012 | M(1) | 35,000 | (3) | 01/14/2019 | Ordinary Shares | 35,000 | $ 0 | 70,000 | D | ||||
| Employee Stock Option (Right to Buy) | $ 8.12 | 01/17/2012 | M(1) | 35,000 | (4) | 01/14/2019 | Ordinary Shares | 35,000 | $ 0 | 70,000 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| OOI BOON C C/O AVAGO TECHNOLOGIES US INC. 350 WEST TRIMBLE ROAD SAN JOSE, CA 95131 |
SVP, Global Operations | |||
| /S/Patricia H. McCall, Attorney-in-Fact for Boon C. Ooi | 01/19/2012 | |
| **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) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 23, 2011. |
| (2) | These transactions were executed in multiple trades in prices ranging from $31.50 to $31.87. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. |
| (3) | The option vests with respect to 20% of the shares subject thereto on each anniversay of January 15, 2009, such that the option will be fully vested and exercisable on January 15, 2014. |
| (4) | The options vests with respect to 20% of the shares subject thereto (each such amount, a "Tranche") on each anniversary of January 15, 2009, provided that certain annual performance milestones are achieved, such that the option could be fully vested and exercisable on January 15, 2014. If annual performance milestones for a particular year are not met, the Tranche to which such performance milestones apply will vest on the date that is two years after the date on which such Tranche would have vested had the relevant annual performance milestones been met. In addition, any Tranche that does not vest in any given year may vest in a subsequent year if performance in such subsequent year exceeds the performance milestones for that year. As at January 15, 2012, 35,000 shares were vested and exercisable. |