AVGO (NASDAQ: AVGO) amends Form 144/A — RSUs and 381,668 Founders Shares listed

Rhea-AI Filing Summary

AVGO submitted a Form 144/A amendment listing specific classes of Common Stock proposed for sale, primarily Restricted Stock Units granted on multiple dates and a block of Founders Shares. The filing lists individual grant dates and share counts, including identifiable lots such as 381,668 Founders Shares and several RSU lots dated 2011–2019.

Key Figures

Founders Shares: 381,668 shares RSU lot (2014): 37,471 shares RSU lot (2015): 24,356 shares +2 more

5 metrics

Founders Shares 381,668 shares 08/14/1991 entry listed on Form 144/A

RSU lot (2014) 37,471 shares Restricted Stock Units dated 05/05/2014

RSU lot (2015) 24,356 shares Restricted Stock Units dated 05/05/2015

RSU lot (2013) 26,723 shares Restricted Stock Units dated 05/05/2013

Form type Form 144/A Amendment filing listing securities to be sold

Key Terms

Restricted Stock Units, Founders Shares, Form 144/A

3 terms

Restricted Stock Units financial

"Restricted Stock Units | Issuer | | | 6586 | 03/25/2026"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

Founders Shares financial

"Founders Shares | Issuer | | | 381668 | 03/25/2026"

Founders shares are a special block of a company’s stock originally given to the people who started the business; they often carry extra voting power or favorable terms compared with regular shares. For investors, these shares matter because they concentrate control and influence how future funding, ownership dilution, and decision-making will play out—think of founders shares as the steering wheel that can steer a company’s direction even as more passengers (investors) climb aboard.

Form 144/A regulatory

"144/A: Securities To Be Sold"

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144/A

144/A: Filer Information

Filer CIK
Filer CCC
Previous Accession Number Of The Filing
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144/A: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144/A: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common Stock	Northern Trust Securities, Inc. 50 S LaSalle Street Chicago IL 60603	531741	170000150.06	4734668184	03/25/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144/A: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common Stock	05/05/2011	Restricted Stock Units	Issuer			6586	03/25/2026	N/A
Common Stock	05/05/2012	Restricted Stock Units	Issuer			23758	03/25/2026	N/A
Common Stock	05/05/2013	Restricted Stock Units	Issuer			26723	03/25/2026	N/A
Common Stock	05/05/2014	Restricted Stock Units	Issuer			37471	03/25/2026	N/A
Common Stock	05/05/2015	Restricted Stock Units	Issuer			24356	03/25/2026	N/A
Common Stock	05/05/2016	Restricted Stock Units	Issuer			11524	03/25/2026	N/A
Common Stock	03/15/2017	Restricted Stock Units	Issuer			14939	03/25/2026	N/A
Common Stock	03/15/2019	Restricted Stock Units	Issuer			4594	03/25/2026	N/A
Common Stock	03/15/2019	Restricted Stock Units	Issuer			122	03/25/2026	N/A
Common Stock	08/14/1991	Founders Shares	Issuer			381668	03/25/2026	N/A

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144/A: Securities Sold During The Past 3 Months

Nothing to Report

144/A: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What securities does AVGO list on the Form 144/A?

Answer: The filing lists Common Stock comprised mostly of Restricted Stock Units and one Founders Shares lot. The document specifies RSU lots dated 2011–2019 and a Founders Shares entry of 381,668 shares dated 08/14/1991.

How many Founders Shares are included in the AVGO Form 144/A amendment?

Answer: The amendment shows 381,668 Founders Shares dated 08/14/1991. The entry appears alongside multiple RSU grant lots and is presented as a discrete line item in the securities-to-be-sold section.

Which RSU grant years and example share counts appear in AVGO's filing?

Answer: RSU grant years shown include 2011, 2012, 2013, 2014, 2015, 2016, 2017, and 2019. Example counts include 37,471 (05/05/2014) and 24,356 (05/05/2015) as listed on the form.

Does AVGO's Form 144/A show transaction proceeds or buyers?

Answer: The provided excerpt does not state proceeds, pricing, or purchasers. It enumerates securities and share counts by grant date, without disclosing sale price, purchaser identity, or timing details in the visible text.