[144] Broadcom Inc. SEC Filing

Rhea-AI Filing Summary

Broadcom Inc. (AVGO) Form 144 notice reports a proposed sale of 16,558 restricted common shares valued at approximately $5,755,740, to be executed through Charles Schwab & Co., Inc. on 09/17/2025 on NASDAQ.

The shares were acquired on 09/16/2025 through a restricted stock lapse from Broadcom as equity compensation and the planned sale is to be paid as equity compensation. The filing also discloses prior sales by the same person within the past three months totaling 110,646 shares with aggregate gross proceeds of $29,001,951.00 across transactions on 06/23/2025, 06/24/2025 and 09/16/2025.

The filer certifies they are not aware of any undisclosed material adverse information about the issuer.

Positive

• Clear disclosure of the proposed sale, including broker, exchange, number of shares, and aggregate market value
• Origin of shares identified as a restricted stock lapse from Broadcom, and payment type noted as equity compensation
• Prior recent sales reported, providing transparency on insider liquidity over the past three months

Negative

• No explicit trading plan date (Rule 10b5-1) is indicated in the remarks to show pre-commitment for the sales
• Insider selling volume is substantial in the past three months (110,646 shares, ~$29.0M), which may attract investor attention

Insights

Securities/Equity Analyst

TL;DR: Insider equity compensation converted and planned sale disclosed; sales volume appears routine but notable in size.

The filing shows a routine post-vesting sale under Rule 144: 16,558 shares valued at about $5.8 million are scheduled for 09/17/2025 through a broker, following a restricted stock lapse dated 09/16/2025. The filer also reported three earlier sell transactions totaling 110,646 shares and roughly $29.0 million in gross proceeds during the past three months. From an investor-impact perspective, this is a transparent disclosure of insider liquidity rather than new operational or financial information about Broadcom. The magnitude of recent sales is material only relative to the individual holder, not indicative here of company fundamentals.

Corporate Governance Expert

TL;DR: Compliance with Rule 144 and representations are present; the filing documents insider selling post-vesting.

The notice documents that the shares originated from a restricted stock lapse and will be sold via an established brokerage on NASDAQ, consistent with standard insider compliance. The signer affirms no undisclosed material adverse information exists. There is no indication of a trading plan adoption date or Rule 10b5-1 instruction in the remarks, which would have clarified pre-commitment to sales. Overall, disclosure meets Rule 144 requirements but lacks an explicit trading-plan reference.

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	16558	5755740.00	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.			16558	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
Mark David Brazeal 3421 HILLVIEW AVENUE PALO ALTO CA 94304	Broadcom Inc.	06/23/2025	50000	12664250.00
Mark David Brazeal 3421 HILLVIEW AVENUE PALO ALTO CA 94304	Broadcom Inc.	06/24/2025	50000	13105050.00
Mark David Brazeal 3421 HILLVIEW AVENUE PALO ALTO CA 94304	Broadcom Inc.	09/16/2025	10646	3836651.00

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 does Broadcom's (AVGO) Form 144 disclose?

The notice discloses a proposed sale of 16,558 common shares valued at about $5,755,740, to be sold on 09/17/2025 on NASDAQ through Charles Schwab & Co., Inc.

How were the shares acquired that are being sold?

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

Has the filer sold other Broadcom shares recently?

Yes. The filer reported sales on 06/23/2025, 06/24/2025, and 09/16/2025 totaling 110,646 shares with gross proceeds of $29,001,951.00.

Which broker will execute the planned sale?

The broker listed is Charles Schwab & Co., Inc. located at 3000 Schwab Way, Westlake, TX; the sale is slated for NASDAQ.

Does the filing indicate any undisclosed material information about Broadcom?

The signer represents that they do not know of any material adverse information