Broadcom insider withholds 8,059 shares for taxes

Broadcom’s chief legal and corporate affairs officer had shares withheld to cover equity award costs while retaining a substantial direct holding.

Available on EDGAR 09/17/2026 - 06:06 PM EDT Accepted by SEC EDGAR 09/17/2026 - 06:05 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Broadcom Inc. (AVGO) reported that Chief Legal & Corp Affairs Officer Mark David Brazeal had 8,059 shares of common stock disposed of on September 15, 2026 to satisfy exercise price or tax liability obligations by delivering or withholding shares at $339.27 per share. Following this transaction, he directly holds 186,930 shares of Broadcom common stock, including 107,500 restricted stock units, and no Rule 10b5-1 trading plan is reported.

Insider Trade Summary

Exercise Price or Tax Liability: 8,059 shares

Exercise Price or Tax Liability 1 txn

Insider Brazeal Mark David

Role Chief Legal & Corp Affairs Ofc

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock, $0.001 par value F1	8,059	$339.27	$2.73M

Holdings After Transaction: Common Stock, $0.001 par value — 186,930 shares (Direct)

Holdings Before and After: Common Stock, $0.001 par value, 194,989 to 186,930 shares (Direct)

Footnotes (1)

1. F1. Includes 107,500 restricted stock units.

Key Figures

Shares disposed for exercise price or tax liability: 8,059 shares Per-share value for withholding transaction: $339.27 per share Shares held after transaction: 186,930 shares +1 more

4 metrics

Shares disposed for exercise price or tax liability 8,059 shares Common stock delivered or withheld on September 15, 2026

Per-share value for withholding transaction $339.27 per share Applied to the 8,059 shares used to cover obligations

Shares held after transaction 186,930 shares Direct Broadcom common stock holdings following the September 15, 2026 transaction

Restricted stock units included in holdings 107,500 restricted stock units Included within the 186,930 post-transaction direct holdings

Key Terms

restricted stock units, exercise price or tax liability, Rule 10b5-1

3 terms

restricted stock units financial

"Includes 107,500 restricted stock units."

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.

exercise price or tax liability financial

"Payment of exercise price or tax liability by delivering or withholding securities"

Rule 10b5-1 regulatory

"No Rule 10b5-1 trading plan is reported in connection with this transaction"

Rule 10b5-1 is a regulation that allows company insiders to buy or sell their shares at predetermined times, even if they have access to non-public information. It acts like setting a schedule in advance for transactions, helping prevent accusations of unfair trading. This rule provides a way for insiders to plan trades transparently, giving investors confidence that these transactions are not based on hidden information.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What transaction did Broadcom (AVGO) report for Mark David Brazeal on this Form 4?

Broadcom reported that Mark David Brazeal had 8,059 shares of common stock disposed of on September 15, 2026 to pay exercise price or tax liability by delivering or withholding shares, rather than through an open-market sale.

How many Broadcom (AVGO) shares were involved in the Form 4 withholding transaction?

The transaction involved 8,059 shares of Broadcom common stock. These shares were disposed of to cover exercise price or tax liability in connection with equity awards, according to the Form 4 disclosure.

What price per share was used for Mark David Brazeal’s Broadcom (AVGO) withholding transaction?

The Form 4 reports a value of $339.27 per share for the 8,059 shares delivered or withheld to satisfy exercise price or tax liability obligations related to Broadcom equity awards.

How many Broadcom (AVGO) shares does Mark David Brazeal hold after this Form 4 transaction?

After the reported transaction, Mark David Brazeal directly holds 186,930 shares of Broadcom common stock. A footnote states that this amount includes 107,500 restricted stock units as part of his equity holdings.

How many restricted stock units does Mark David Brazeal have at Broadcom (AVGO)?

A footnote to the Form 4 states that his direct holding of 186,930 shares includes 107,500 restricted stock units, which represent unvested or deferred Broadcom equity awards.

Was Mark David Brazeal’s Broadcom (AVGO) transaction under a Rule 10b5-1 trading plan?

No. The Form 4 indicates that the Rule 10b5-1 checkbox is not marked, so no Rule 10b5-1 trading plan is reported in connection with this transaction.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Brazeal Mark David

(Last) (First) (Middle)

C/O BROADCOM INC.

3421 HILLVIEW AVENUE

(Street)

PALO ALTO CALIFORNIA 94304

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Broadcom Inc. [ AVGO ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Legal & Corp Affairs Ofc

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/15/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock, $0.001 par value	09/15/2026		F		8,059	D	$339.27	186,930(1)	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Includes 107,500 restricted stock units.

Remarks:

	/s/ Noelle Matteson, Attorney-in-Fact for Mark Brazeal	09/17/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
* Form 4: SEC 1474 (03-26)