[144] Broadcom Inc. SEC Filing

Rhea-AI Filing Summary

Broadcom Inc. (AVGO) Form 144 notifies a proposed sale of 4,821 common shares by a person associated with the company, with an aggregate market value of $1,737,398.00 and an approximate sale date of 09/16/2025 on NASDAQ. The securities are shown as acquired on 09/16/2025 by Broadcom Inc. through a Restricted Stock Lapse and paid as Equity Compensation. The filing also reports prior sales by Kirsten M. Spears of 56,310 shares on 06/18/2025 for $14,175,986.00 and 36,350 shares on 06/24/2025 for $9,497,128.00. The notice includes the standard representation regarding lack of undisclosed material adverse information.

Positive

• Compliance disclosure: The filer provided required Rule 144 notice and represented no undisclosed material adverse information.
• Clear acquisition source: Securities to be sold were acquired via Restricted Stock Lapse and paid as Equity Compensation.

Negative

• Recent insider sales: Kirsten M. Spears sold 56,310 shares on 06/18/2025 for $14,175,986.00 and 36,350 shares on 06/24/2025 for $9,497,128.00.
• Proposed sale follows large June dispositions: The new proposed sale of 4,821 shares is disclosed shortly after significant prior sales earlier in the quarter.

Insights

Securities Analyst

TL;DR: Insider filing shows a proposed sale after restricted stock lapse and significant prior sales in June totaling ~92,660 shares.

The Form 144 documents a proposed sale of 4,821 shares (market value $1.737M) arising from a restricted stock lapse and paid via equity compensation. The filing also discloses two prior open-market sales by Kirsten M. Spears totaling 92,660 shares in June 2025 with gross proceeds of $23.673M. From a market-structure perspective, the filing is routine disclosure under Rule 144 that notifies brokers and the market of intended sales; it provides clear quantities, dates, and consideration type but does not include price per share beyond aggregate proceeds for prior sales.

Corporate Governance Expert

TL;DR: The filing documents compliance with Rule 144 for shares from equity compensation and reports sizeable insider sales earlier in June.

The notice indicates the seller acquired the shares via a restricted stock lapse and intends to sell through a broker (Charles Schwab & Co.). The form includes the mandatory representation that the seller is unaware of any undisclosed material adverse information. The disclosure of prior sales by Kirsten M. Spears and the use of equity compensation are relevant to governance transparency and insider transaction monitoring; no claims about motive or undisclosed events are made in the filing.

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	4821	1737398.00	4722365022	09/16/2025	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.			4821	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

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

What is being proposed in the Broadcom (AVGO) Form 144?

The notice proposes the sale of 4,821 common shares with an aggregate market value of $1,737,398.00, approx. sale date 09/16/2025, on NASDAQ.

How were the shares to be sold acquired according to the filing?

The shares were acquired on 09/16/2025 by Broadcom Inc. through a Restricted Stock Lapse and the payment type is listed as Equity Compensation.

Who executed prior sales reported in the Form 144 and what were the amounts?

Kirsten M. Spears sold 56,310 shares on 06/18/2025 for $14,175,986.00 and 36,350 shares on 06/24/2025 for $9,497,128.00.

Which broker is named for the proposed sale?

The broker listed is Charles Schwab & Co., Inc. with an address at 3000 Schwab Way, Westlake, TX 76262.

Does the filing state any undisclosed adverse information about Broadcom?

By signing the notice, the person represents they do not know any material adverse information regarding the issuer that has not been publicly disclosed.