[144] Broadcom Inc. SEC Filing

Rhea-AI Filing Summary

Broadcom Inc. insider filing (Form 144) discloses a proposed sale of 7,498 common shares held by the reporting person through Charles Schwab, with an aggregate market value of $2,606,783 and an approximate sale date of 09/17/2025 on NASDAQ. The shares were acquired on 09/16/2025 by restricted stock lapse as equity compensation from Broadcom Inc.

The filing also lists prior insider sales by Kirsten M. Spears during the past three months: 56,310 shares on 06/18/2025 for $14,175,986, 36,350 shares on 06/24/2025 for $9,497,128, and 4,821 shares on 09/16/2025 for $1,737,398.

Positive

• Compliance disclosure filed under Rule 144 showing transparency about proposed insider sales
• Sale arises from restricted stock lapse, indicating these are vesting-related transactions rather than undisclosed trading

Negative

• Significant insider selling in the past three months totaling 97,481 shares with gross proceeds of about $25.41 million
• Proposed sale of 7,498 shares valued at $2,606,783 scheduled for 09/17/2025, which adds to recent liquidity events by insiders

Insights

Securities Analyst

TL;DR: Insider filing shows planned sale of recently vested restricted stock and material prior sales; market impact likely limited but worth monitoring.

The proposed sale of 7,498 shares reflects a disposal of restricted stock that vested on 09/16/2025 and is being routed through Charles Schwab on NASDAQ. Prior three-month sales by the same individual totaled 97,481 shares with combined gross proceeds of approximately $25.4 million, which is sizeable in absolute terms but must be compared to Broadcom's market capitalization to assess market impact. The filing is a routine compliance disclosure under Rule 144; it does not contain information about company operations or forecasts.

Corporate Governance Expert

TL;DR: Multiple large insider sales in the quarter may raise governance and signaling questions despite being consistent with compensation vesting and Rule 144 disclosures.

The transaction history shows repeated sales following a restricted stock lapse, suggesting scheduled liquidity by an insider rather than opportunistic trading. While lawful and disclosed, aggregated proceeds exceeding $25 million in three months are material from a stakeholder-communication perspective and could prompt investor questions about insider confidence. The filing includes the standard representation that the seller is unaware of undisclosed material adverse information.

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

144: Filer Information

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

144: 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: 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	Charles Schwab & Co., Inc. 3000 Schwab Way Westlake TX 76262	7498	2606783.00	4722365022	09/17/2025	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: 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	09/16/2025	Restricted Stock Lapse - See Remarks	Broadcom Inc.			7498	09/16/2025	Equity Compensation

* 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: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Kirsten M. Spears 3421 HILLVIEW AVENUE PALO ALTO CA 94304	Broadcom Inc.	06/18/2025	56310	14175986.00
Kirsten M. Spears 3421 HILLVIEW AVENUE PALO ALTO CA 94304	Broadcom Inc.	06/24/2025	36350	9497128.00
Kirsten M. Spears 3421 HILLVIEW AVENUE PALO ALTO CA 94304	Broadcom Inc.	09/16/2025	4821	1737398.00

144: Remarks and Signature

Remarks

Date of Notice

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

Who is proposing to sell shares in the Broadcom (AVGO) Form 144?

The filing lists the seller activity for Kirsten M. Spears; the proposed sale of 7,498 shares is associated with the reporting person (broker listed: Charles Schwab & Co., Inc.).

How many shares and what value are proposed for sale on 09/17/2025?

The proposed sale is 7,498 common shares with an aggregate market value of $2,606,783 and an approximate sale date of 09/17/2025.

What is the origin of the shares being sold?

The shares were acquired on 09/16/2025 via a restricted stock lapse from Broadcom Inc. as equity compensation.

What insider sales occurred in the prior three months?

Sales listed: 56,310 shares on 06/18/2025 for $14,175,986; 36,350 shares on 06/24/2025 for $9,497,128; and 4,821 shares on 09/16/2025 for $1,737,398.

Which broker is handling the proposed sale?

The broker named in the filing is Charles Schwab & Co., Inc. with an address shown in Westlake, TX.