What changed in this filing

/stocks — the workspaceLOADING

Item 9A. Controls and Procedures

2021-12-17 compared with 2020-12-18 · 131 added, 201 removed, 383 unchanged (46% of the section changed)

1 unchanged sentence

Evaluation of Disclosure Controls and Procedures

Our management, with the participation of our Chief Executive Officer (“CEO”) and Chief Financial Officer (“CFO”), evaluated the effectiveness of our disclosure controls and procedures as of November 1, 2020.

The term “disclosure controls and procedures,” as defined in Rules 13a-15(e) and 15d-15(e) under the Exchange Act, means controls and other procedures of a company that are designed to ensure that information required to be disclosed by a company in the reports that it files or submits under the Exchange Act is recorded, processed, summarized and reported within the time periods specified in the SEC’s rules and forms.

1 unchanged sentence

Management recognizes that any controls and procedures, no matter how well designed and operated, can provide only reasonable assurance of achieving their objectives and management necessarily applies its judgment in evaluating the cost-benefit relationship of possible controls and procedures.

Based on the evaluation of our disclosure controls and procedures as of November 1, 2020, our CEO and CFO concluded that, as of such date, our disclosure controls and procedures were effective at the reasonable assurance level.

Based on the evaluation of our disclosure controls and procedures as of October 31, 2021, our CEO and CFO concluded that, as of such date, our disclosure controls and procedures were effective at the reasonable assurance level.

Management’s Report on Internal Control Over Financial Reporting

6 unchanged sentences

Projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

Our management assessed the effectiveness of our internal control over financial reporting as of November 1, 2020.

Our management assessed the effectiveness of our internal control over financial reporting as of October 31, 2021.

In making this assessment, our management used the criteria set forth by the Committee of Sponsoring Organizations of the Treadway Commission in Internal Control-Integrated Framework (2013) .

Based on this assessment, our management concluded that, as of November 1, 2020, our internal control over financial reporting is effective based on those criteria.

The effectiveness of our internal control over financial reporting, as of November 1, 2020 has been audited by PricewaterhouseCoopers LLP, an independent registered public accounting firm, as stated in their report which is included in Part II, Item 8.

Based on this assessment, our management concluded that, as of October 31, 2021, our internal control over financial reporting is effective based on those criteria.

The effectiveness of our internal control over financial reporting, as of October 31, 2021 has been audited by PricewaterhouseCoopers LLP, an independent registered public accounting firm, as stated in their report which is included in Part II, Item 8.

of this Annual Report on Form 10-K.

Changes in Internal Control over Financial Reporting

No change in our internal control over financial reporting (as defined in Rules 13a-15(f) and 15d-15(f) under the Exchange Act) occurred during the fourth quarter ended November 1, 2020 that has materially affected, or is reasonably likely to materially affect, our internal control over financial reporting.

Although we have modified our workplace practices globally due to the COVID-19 pandemic, resulting in most of our employees working remotely, this has not meaningfully affected our internal controls over financial reporting.

No change in our internal control over financial reporting (as defined in Rules 13a-15(f) and 15d-15(f) under the Exchange Act) occurred during the fourth quarter ended October 31, 2021 that has materially affected, or is reasonably likely to materially affect, our internal control over financial reporting.

Although we have modified our workplace practices globally due to the COVID-19 pandemic, resulting in some of our employees working remotely, this has not meaningfully affected our internal controls over financial reporting.

We are continually monitoring and assessing the COVID-19 situation on our internal controls to minimize the impact on their design and operating effectiveness.

OTHER INFORMATION

DISCLOSURE REGARDING FOREIGN JURISDICTIONS THAT PREVENT INSPECTIONS

Not applicable.

DIRECTORS, EXECUTIVE OFFICERS AND CORPORATE GOVERNANCE

The information regarding our directors and executive officers, set forth in the sections entitled “Proposal 1 — Election of Directors,” “Executive Officers” and “Corporate Governance,” in our definitive Proxy Statement for our 2021 Annual Meeting of Stockholders to be filed with the SEC within 120 days of the end of our 2020 fiscal year pursuant to General Instruction G(3) to Form 10-K is hereby incorporated by reference in this section.

We have adopted a written Code of Ethics and Business Conduct that applies to all of our employees and directors, including our principal executive officer, principal financial officer and principal accounting officer, or persons performing similar functions and have posted it in the “Investors Center — Governance” section of our website, which is located at www.broadcom.com.

We intend to satisfy any disclosure requirement under Item 5.05 of Form 8-K regarding any amendments to, or waivers from, our Code of Ethics and Business Conduct by posting such information on our website at the internet address and location above.

The information required by Item 10 is incorporated herein by reference from sections entitled “Proposal 1 — Election of Directors” and “Corporate Governance” in our definitive Proxy Statement for our 2022 Annual Meeting of Stockholders.

Our executive officers are listed at the end of Item 1 of this Annual Report on Form 10-K.

EXECUTIVE COMPENSATION

The information regarding executive compensation required by this Item 11 set forth in the sections entitled “Director Compensation”, “Compensation Discussion and Analysis,” “Executive Compensation,” “Compensation Committee Report” and “Corporate Governance — Compensation Committee Interlocks and Insider Participation" in our definitive Proxy Statement for our 2021 Annual Meeting of Stockholders to be filed with the SEC within 120 days of the end of our 2020 fiscal year pursuant to General Instruction G(3) to Form 10-K is hereby incorporated by reference in this section.

However, the Compensation Committee Report included in such definitive Proxy Statement shall not be deemed “filed” with the SEC for the purposes of Section 18 of the Exchange Act or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing made by us with the SEC, regardless of any general incorporation language in such filing.

The information required by Item 11 is incorporated herein by reference from sections entitled “Director Compensation”, “Compensation Discussion and Analysis”, “Executive Compensation”, “Compensation Committee Report” and “Corporate Governance — Compensation Committee Interlocks and Insider Participation" in our definitive Proxy Statement for our 2022 Annual Meeting of Stockholders.

SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS

The information regarding security ownership of certain beneficial owners and management and related stockholder matters required by this Item 12 set forth in the section entitled “Stockholder Information — Security Ownership of Certain Beneficial Owners, Directors and Executive Officers” and “Equity Compensation Plan Information” in our definitive Proxy Statement for our 2021 Annual Meeting of Stockholders to be filed with the SEC within 120 days of the end of our 2020 fiscal year pursuant to General Instruction G(3) to Form 10-K is hereby incorporated by reference in this section.

The information required by Item 12 is incorporated herein by reference from sections entitled “Stockholder Information — Security Ownership of Certain Beneficial Owners, Directors and Executive Officers” and “Equity Compensation Plan Information” in our definitive Proxy Statement for our 2022 Annual Meeting of Stockholders.

CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS, AND DIRECTOR INDEPENDENCE

The information regarding certain relationships, related transactions and director independence required by this Item 13 set forth in the sections entitled “Corporate Governance” and “Certain Relationships and Related Party Transactions” in our definitive Proxy Statement for our 2021 Annual Meeting of Stockholders to be filed with the SEC within 120 days of the end of our 2020 fiscal year pursuant to General Instruction G(3) to Form 10-K is hereby incorporated by reference in this section.

PRINCIPAL ACCOUNTING FEES AND SERVICES

The information regarding principal accounting fees and services required by this Item 14 set forth in the proposal relating to the re-appointment of our independent registered public accounting firm in our definitive Proxy Statement for our 2021 Annual Meeting of Stockholders to be filed with the SEC within 120 days of the end of our 2020 fiscal year pursuant to General Instruction G(3) to Form 10-K is hereby incorporated by reference in this section.

EXHIBITS, FINANCIAL STATEMENT SCHEDULES

The information required by Item 13 is incorporated herein by reference from sections entitled “Corporate Governance” and “Certain Relationships and Related Party Transactions” in our definitive Proxy Statement for our 2022 Annual Meeting of Stockholders.

PRINCIPAL ACCOUNTANT FEES AND SERVICES

The information required by Item 14 is incorporated herein by reference from the section entitled “Proposal 2 — Ratification of Appointment of Our Independent Registered Public Accounting Firm” in our definitive Proxy Statement for our 2022 Annual Meeting of Stockholders.

EXHIBITS AND FINANCIAL STATEMENT SCHEDULES

(a) The following are filed as part of this Annual Report on Form 10-K:

26 unchanged sentences

and NortonLifeLock Inc.

Broadcom Inc.

Annual Report on Form 10-K (Commission File No.

001-38449) December 18, 2020

3.1 Amended and Restated Certificate of Incorporation .

10 unchanged sentences

001-38449) April 4, 2018

Incorporated by Referenced Herein Filed

Description Form Filing Date

4.1 Form of Common Stock Certificate.

2 unchanged sentences

001-38449) June 14, 2018

Incorporated by Referenced Herein Filed

Description Form Filing Date

4.2 Form of Certificate of the 8.00% Mandatory Convertible Preferred Stock, Series A (included in Exhibit 3.2).

33 unchanged sentences

001-37690) January 20, 2017

4.12 Indenture, dated as of October 17, 2017, by and among the Co-Issuers, the gu ar antors and Wilmington Trust, National Association, as trustee.

4.12 Indenture, dated as of October 17, 2017, by and among the Co-Issuers, the guarantors and Wilmington Trust, National Association, as trustee.

Broadcom Limited Current Report on Form 8-K (Commission File No.

17 unchanged sentences

001-37690) October 17, 2017

Incorporated by Referenced Herein Filed

Description Form Filing Date

4.18 Form of 3.500% Senior Note due 2028 (included in Exhibit 4.12).

1 unchanged sentence

001-37690) October 17, 2017

4.19 Indenture, dated as of April 5, 2019, by and among the Company, as Issuer, Broadcom Techn ologies Inc., Broadcom Corporation and Broadcom Cayman Finance Limited ( the “ 2019 Guarantors ” ) , and Wilmington Trust, National Association, as trustee.

Incorporated by Referenced Herein Filed

Description Form Filing Date

4.19 Indenture, dated as of April 5, 2019, by and among the Company, as Issuer, Broadcom Technologies Inc., Broadcom Corporation and Broadcom Cayman Finance Limited (the “2019 Guarantors”), and Wilmington Trust, National Association, as trustee.

Broadcom Inc.

56 unchanged sentences

001-38449) May 8, 2020

Incorporated by Referenced Herein Filed

Description Form Filing Date

4.33 Form of 4.150% Senior Notes due 2030 (included in Exhibit 4.30).

2 unchanged sentences

001-38449) May 8, 2020

Incorporated by Referenced Herein Filed

Description Form Filing Date

4.34 Form of 4.300% Senior Notes due 2032 (included in Exhibit 4.30).

24 unchanged sentences

001-38449) May 21, 2020

4.40 Indenture, dated as of January 19, 2021, by and among the Company, the 2020 Guarantors and Wilmington Trust, National Association, as Trustee.

Broadcom Inc.

Current Report on Form 8-K (Commission File No.

001-38449) January 19, 2021

4.41 Form of 1.950% Senior Notes due 2028 (included in Exhibit 4.40).

Broadcom Inc.

Current Report on Form 8-K (Commission File No.

001-38449) January 19, 2021

4.42 Form of 2.450% Senior Notes due 2031 (included in Exhibit 4.40).

Broadcom Inc.

Current Report on Form 8-K (Commission File No.

001-38449) January 19, 2021

4.43 Form of 2.600% Senior Notes due 2033 (included in Exhibit 4.40).

Broadcom Inc.

Current Report on Form 8-K (Commission File No.

001-38449) January 19, 2021

4.44 Form of 3.500% Senior Notes due 2041 (included in Exhibit 4.40).

Broadcom Inc.

Current Report on Form 8-K (Commission File No.

001-38449) January 19, 2021

4.45 Form of 3.750% Senior Notes due 2051 (included in Exhibit 4.40).

Broadcom Inc.

Current Report on Form 8-K (Commission File No.

001-38449) January 19, 2021

4.46 Registration Rights Agreement, dated as of January 19, 2021, by and among the Company, the 2020 Guarantors and Morgan Stanley & Co.

LLC, BNP Paribas Securities Corp., RBC Capital Markets, LLC, SMBC Nikko Securities America, Inc., and Truist Securities, Inc., as representatives of the several initial purchasers of the January 2021 Senior Notes.

Broadcom Inc.

Current Report on Form 8-K (Commission File No.

001-38449) January 19, 2021

4.47 Indenture, dated as of March 31, 2021, by and between the Company and Wilmington Trust, National Association, as Trustee .

Broadcom Inc.

Current Report on Form 8-K (Commission File No.

001-38449) March 31, 2021

4.48 Form of 3.419% Senior Notes due 2033 (included in Exhibit 4.47)

Broadcom Inc.

Current Report on Form 8-K (Commission File No.

001-38449) March 31, 2021

Incorporated by Referenced Herein Filed

Description Form Filing Date

4.49 Form of 3.469% Senior Notes due 2034 (included in Exhibit 4.47)

Broadcom Inc.

Current Report on Form 8-K (Commission File No.

001-38449) March 31, 2021

4.50 Registration Rights Agreement, dated as of March 31, 2021, by and among the Company and BofA Securities, Inc.

and HSBC Securities (USA) Inc., as dealer-managers in connection with the March 2021 Senior Notes.

Broadcom Inc.

Current Report on Form 8-K (Commission File No.

001-38449) March 31, 2021

4.51 Indenture, dated as of September 30, 2021, by and between the Company and Wilmington Trust, National Association, as Trustee.

Broadcom Inc.

Current Report on Form 8-K (Commission File No.

001-38449) September 30, 2021

4.52 Form of 3.137% Senior Notes due 2035 (included in Exhibit 4.51) .

Broadcom Inc.

Current Report on Form 8-K (Commission File No.

001-38449) September 30, 2021

4.53 Form of 3.187% Senior Notes due 2036 (included in Exhibit 4.51).

Broadcom Inc.

Current Report on Form 8-K (Commission File No.

001-38449) September 30, 2021

4.54 Registration Rights Agreement, dated as of September 30, 2021, by and among the Company and BNP Paribas Securities Corp., J.P.

Morgan Securities LLC and TD Securities (USA) LLC, as dealer-managers in connection with the 2021 Exchange Offers.

Broadcom Inc.

Current Report on Form 8-K (Commission File No.

001-38449) September 30, 2021

10.1 Form of Indemnification and Advancement Agreement (effective April 4, 2018).

2 unchanged sentences

001-38449) April 4, 2018

10.2 Form of Indemnification Agreement (Directors) (effective June 1, 2016).

Broadcom Limited Quarterly Report on Form 10-Q (Commission File No.

001-37690) June 9, 2016

10.3 Form of Indemnification Agreement (Officers) (effective June 1, 2016).

Broadcom Limited Quarterly Report on Form 10-Q (Commission File No.

001-37690) June 9, 2016

10.4 Form of Indemnification Agreement (Directors) (effective February 1, 2016).

Broadcom Limited Current Report on Form 8-K12B (Commission File No.

001-37690) February 2, 2016

10.5 Form of Indemnification Agreement (Directors) (effective prior to February 1, 2016).

Avago Technologies Limited Quarterly Report on Form 10-Q (Commission File No.

001-34428) September 13, 2013

10.6 Form of Indemnification Agreement (Officers) (effective prior to February 1, 2016).

Avago Technologies Finance Pte.

Amendment No.

1 to Annual Report on Form 20-F/A (Commission File No.

333-137664) February 27, 2008

10.2 Credit Agreement, dated as of May 7, 2019, among Broadcom Inc., the lenders and other parties party thereto, and Bank of America, N.A., as Administrative Agent.

6 unchanged sentences

001-38449) November 4, 2019

Incorporated by Referenced Herein Filed

Description Form Filing Date

10.9 Sublease Agreement, dated June 5, 2009, between Agilent Technologies Singapore Pte.

and Avago Technologies Manufacturing (Singapore) Pte.

Ltd., relating to Avago’s facility at 1 Yishun Avenue 7, Singapore 768923.

Avago Technologies Limited Registration Annual Report on Form 10-K (Commission File No.

001-33428) December 15, 2010

10.10 Amendments of Sublease Agreement between Agilent Technologies Singapore Pte.

and Avago Technologies Manufacturing (Singapore) Pte.

Ltd., relating to Avago’s facility at 1 Yishun Avenue 7 Singapore 768923.

Avago Technologies Limited Registration Annual Report on Form 10-K (Commission File No.

001-33428) December 17, 2015

10.11 Amendment No.

3 of Sublease Agreement between Agilent Technologies Singapore Pte.

and Avago Technologies Manufacturing (Singapore) Pte.

Ltd., relating to Avago’s facility at 1 Yishun Avenue 7 Singapore 768923.

Broadcom Limited Quarterly Report on Form 10-Q (Commission File No.

001-37690) March 10, 2016

10.12 L etter of Offer for Sublease Premises located at 1 Yishun Avenue 7 , Singapore 768923 .

10.13 Lease No.

I/33183P issued by Singapore Housing and Development Board to Compaq Asia Pte Ltd in respect of the land and structures comprised in Lot 1935X of Mukim 19, dated September 26, 2000, and includes the Variation of Lease I/49501Q registered January 15, 2002, relating to Avago’s facility at 1 Yishun Avenue 7, Singapore 768923.

Avago Technologies Finance Pte.

Registration Statement on Form F-4 (Commission File No.

333-137664) November 15, 2006

10.14 Lease No.

I/31607P issued by Singapore Housing and Development Board to Compaq Asia Pte Ltd in respect of the land and structures comprised in Lot 1937C of Mukim 19, dated September 26, 2000, and includes the Variation of Lease I/49499Q registered January 15, 2002, relating to Avago’s facility at 1 Yishun Avenue 7, Singapore 768923.

Avago Technologies Finance Pte.

Registration Statement on Form F-4 (Commission File No.

333-137664) November 15, 2006

10.15 Lease No.

I/33182P issued by Singapore Housing and Development Board to Compaq Asia Pte Ltd in respect of the land and structures comprised in Lot 2134N of Mukim 19, dated September 26, 2000, and includes the Variation of Lease I/49500Q registered January 15, 2002, relating to Avago’s facility at 1 Yishun Avenue 7, Singapore 768923.

Avago Technologies Finance Pte.

Registration Statement on Form F-4 (Commission File No.

333-137664) November 15, 2006

10.16 Lease No.

I/33160P issued by Singapore Housing and Development Board to Compaq Asia Pte Ltd in respect of the land and structures comprised in Lot 1975P of Mukim 19, dated September 26, 2000, and includes the Variation of Lease I/49502Q registered January 15, 2002, relating to Avago’s facility at 1 Yishun Avenue 7, Singapore 768923.

Avago Technologies Finance Pte.

Registration Statement on Form F-4 (Commission File No.

333-137664) November 15, 2006

10.4 Credit Agreement, dated as of January 19, 2021, among the Company, the lenders and other parties party thereto, and Bank of America, N.A., as Administrative Agent.

Broadcom Inc.

Current Report on Form 8-K (Commission File No.

001-38449) January 19, 2021

10.5 Lease Agreement dated August 10, 2017 between Five Point Office Venture I, LLC and Broadcom Corporation.

2 unchanged sentences

10.6 First Amendment to Lease Agreement by and between Five Point Office Venture 1, LLC and Broadcom Corporation.

Broadcom Inc.

Annual Report on Form 10-K (Commission File No.

001-38449) December 18, 2020

10.7* Settlement and Patent License and Non-Assert Agreement by and between Qualcomm Incorporated and Broadcom Corporation.

1 unchanged sentence

000-23993) July 23, 2009

Incorporated by Referenced Herein Filed

Description Form Filing Date

10.8+ Avago Technologies Limited 2009 Equity Incentive Award Plan.

Avago Technologies Limited Registration Statement on Form S-1 (Commission File No.

Amendment No.

5 to Avago Technologies Limited Registration Statement on Form S-1 (Commission File No.

333-153127) July 27, 2009

10.21+ Second Amended and Restated Employee Stock Purchase Plan.

Broadcom Limited Current Report on Form 8-K (Commission File No.

001-37690) February 2, 2016

10.22+ Amendment to Broadcom Limited Second Amended and Restated Employee Stock Purchase Plan.

10.9+ Broadcom Inc.

Current Report on Form 8-K12B (Commission File No.

001-38449) April 4, 2018

Employee Stock Purchase Plan (as amended and re stated on April 1, 2019) .

Broadcom Inc.

Definitive Proxy Statement on Schedule 14A (Commission File No.

001-38449) February 19, 2019

Incorporated by Referenced Herein Filed

Description Form Filing Date

10.10+ LSI Corporation 2003 Equity Incentive Plan, as amended.

8 unchanged sentences

001-38449) April 4, 2018

10.26+ Broadcom Corporation 2012 Stock Incentive Plan .

Broadcom Corporation Annual Report on Form 10-K (Commission File No.

000-23993) January 29, 2015

10.27+ Amendment to the Broadcom Corporation 2012 Stock Incentive Plan (effective February 1, 2016).

Broadcom Limited Annual Report on Form 10-K (Commission File No.

001-37690) December 23, 2016

10.28+ Amendment to the Broadcom Corporation 2012 Stock Incentive Plan (effective April 4, 2018).

10.13+ Broadcom Inc.

Current Report on Form 8-K12B (Commission File No.

001-38449) April 4, 2018

10.29+ Brocade Communications Systems, Inc.

Amended and Restated Inducement Award Plan, effective as of May 24, 2016.

Brocade Communication Systems, Inc.

Post-Effective Amendment No.

1 to Form S-4 on Form S-8 Registration Statement (Commission File No.

333-211823) June 3, 2016

10.30+ Amendment to the Brocade Communication Systems, Inc.

Amended and Restated Inducement Award Plan (effective November 17, 2017).

Broadcom Limited Registration Statement on Form S-8 (Commission File No.

333-221654) November 11, 2017

10.31+ Amendment to the Brocade Communication Systems, Inc.

Amended and Restated Inducement Award Plan (effective April 4, 2018).

Broadcom Inc.

Current Report on Form 8-K12B (Commission File No.

001-38449) April 4, 2018

10.32+ CA, Inc.

2011 Incentive Plan, as amended and restated as of November 5, 2018.

Broadcom Inc.

Registration Statement on Form S-8 (Commission File No.

333-228175 November 5, 2018

10.33+ Bay Dynamics, Inc.

2016 Equity Incentive Plan.

2012 Stock Incentive Plan (as amended and restated on April 5, 2021).

Broadcom Inc.

Registration Statement on Form S-8 (Commission File No.

333-235753) December 30, 2019

Quarterly Report on Form 10-Q (Commission File No.

001-38449) June 11, 2021

10.14+ Form of Annual Bonus Plan for Executive Employees.

5 unchanged sentences

333-153127) July 27, 2009

Incorporated by Referenced Herein Filed

Description Form Filing Date

10.16+ Form of Restricted Stock Unit Agreement (Sell to Cover) Under Avago Technologies Limited 2009 Equity Incentive Award Plan (effective February 1, 2016).

4 unchanged sentences

001-37690) December 21, 2017

10.38+ Form of Restricted Stock Unit Award Agreement under Avago Technologies Limited 2009 Equity Incentive Plan (effective April 4, 2018).

Broadcom Inc.

Quarterly Report on Form 10-Q (Commission File No.

001-38449) June 16, 2018

10.39+ Form of Restricted Stock Unit Award Agreement under Avago Technologies Limited 2009 Equity Incentive Plan (effective December 5, 2018).

Broadcom Inc.

Annual Report on Form 10-K (Commission File No.

001-38449) December 21, 2018

10.18+ Form of Agreement for Multi-Year Equity Award of Restricted Stock Unit Award under the Avago Technologies Limited 2009 Equity Incentive Award Plan).

8 unchanged sentences

001-37690) March 15, 2018

10.43+ Form of Performance Share Unit Agreement (Relative TSR) under Avago Technologies Limited 2009 Equity Incentive Plan (effective April 4, 2018).

Broadcom Inc.

Quarterly Report on Form 10-Q (Commission File No.

001-38449) June 16, 2018

10.44+ Form of Performance Stock Unit Agreement (Relative TSR) under Avago Technologies Limited 2009 Equity Incentive Plan (effective December 5, 2018).

Broadcom Inc.

Annual Report on Form 10-K (Commission File No.

001-38449) December 21, 2018

10.21+ Form of Agreement for Multi-Year Equity Award of Performance Stock Units under the Avago Technologies Limited 2009 Equity Incentive Award Plan).

2 unchanged sentences

001-38449) December 6, 2018

10.46+ Form of Option Agreement under LSI Corporation 2003 Equity Incentive Plan, as amended.

Avago Technologies Limited Registration Statement on Form S-8 (Commission File No.

333-196438) June 2, 2014

10.47+ Form of Restricted Stock Unit Award Agreement under LSI Corporation 2003 Equity Incentive Plan, as amended (effective February 1, 2016).

Broadcom Limited Quarterly Report on Form 10-Q (Commission File No.

001-37690) March 10, 2016

10.22+ Form of Restricted Stock Unit Award Agreement under LSI Corporation 2003 Equity Incentive Plan, as amended (effective December 8, 2020).

Broadcom Limited Annual Report on Form 10-K (Commission File No.

001-37690) December 21, 2017

10.49+ Form of Restricted Stock Unit Award Agreement under LSI Corporation 2003 Equity Incentive Plan, as amended (effective April 4 2018).

Broadcom Inc.

Quarterly Report on Form 10-Q (Commission File No.

001-38449) June 16, 2018

10.50+ Form of Restricted Stock Unit Award Agreement under LSI Corporation 2003 Equity Incentive Plan, as amended (effective December 5, 2018).

Broadcom Inc.

Annual Report on Form 10-K (Commission File No.

001-38449) December 18, 2020

10.51+ Form of Restricted Stock Unit Award Agreement under LSI Corporation 2003 Equity Incentive Plan, as amended (effective December 8, 2020).

Incorporated by Referenced Herein Filed

Description Form Filing Date

10.23+ Form of Performance Stock Unit Agreement (Relative TSR) under LSI Corporation 2003 Equity Incentive Plan, as amended (effective December 8, 2020).

10.53+ Broadcom Corporation Amended and Restated Restricted Stock Units Incentive Award Program.

Broadcom Corporation Quarterly Report on Form 10-Q (Commission File No.

000-23993) April 24, 2014

10.54+ Amendment to Broadcom Corporation Amended and Restated Restricted Stock Units Incentive Award Program.

Broadcom Corporation Quarterly Report on Form 10-Q (Commission File No.

000-23993) July 30, 2015

10.55+ Form of Award Letter under the Broadcom Corporation Amended and Restated Restricted Stock Units Incentive Award Program.

Broadcom Corporation Quarterly Report on Form 10-Q (Commission File No.

000-23993) April 24, 2014

Broadcom Inc.

Annual Report on Form 10-K (Commission File No.

001-38449) December 18, 2020

10.24+ Form of Restricted Stock Unit Award Agreement under Broadcom Corporation 2012 Stock Incentive Plan (effective February 1, 2016).

4 unchanged sentences

001-37690) December 21, 2017

10.58+ Form of Restricted Stock Unit Award Agreement under Broadcom Corporation 2012 Stock Incentive Plan, as amended (effective April 4, 2018).

Incorporated by Referenced Herein Filed

Description Form Filing Date

10.26+ Form of Restricted Stock Unit Award Agreement under Broadcom Inc.

2012 Stock Incentive Plan (effective April 5, 2021) .

Broadcom Inc.

1 unchanged sentence

001-38449) June 11, 2021

10.59+ Form of Restricted Stock Unit Award Agreement under Broadcom Corporation 2012 Stock Incentive Plan, as amended (effective December 5, 2018).

Broadcom Inc.

Annual Report on Form 10-K (Commission File No.

001-38449) December 21, 2018

10.60+ Form of Restricted Stock Unit Award Agreement under Broadcom Corporation 2012 Stock Incentive Plan, as amended (effective December 6, 2019).

Broadcom Inc.

Annual Report on Form 10-K (Commission File No.

001-38449) December 20, 2019

10.61+ Form of Agreement for Multi-Year Equity Award of Restricted Stock Units under the Broadcom Corporation 2012 Stock Incentive Plan.

Broadcom Inc.

Current Report on Form 8-K (Commission File No.

001-38449) December 6, 2018

10.27+ Form of Performance Stock Unit Agreement (Relative TSR) under Broadcom Corporation 2012 Stock Incentive Plan.

4 unchanged sentences

001-37690) March 15, 2018

10.64+ Form of Performance Share Unit Agreement (Relative TSR) under Broadcom Corporation 2012 Stock Incentive Plan (effective April 4, 2018).

10.29+ Form of Performance Stock Unit Award Agreement under the Broadcom Inc.

2012 Stock Incentive Plan (effective April 5, 2021).

Broadcom Inc.

1 unchanged sentence

001-38449) June 11, 2021

10.65+ Form of Performance Stock Unit Agreement (Relative TSR) under Broadcom Corporation 2012 Stock Incentive Plan (effective December 5, 2018).

Broadcom Inc.

Annual Report on Form 10-K (Commission File No.

001-38449) December 21, 2018

10.66+ Form of Agreement for Multi-Year Equity Award of Performance Stock Units under the Broadcom Corporation 2012 Stock Incentive Plan.

Broadcom Inc.

Current Report on Form 8-K (Commission File No.

001-38449) December 6, 2018

10.67+ Form of Performance Stock Unit Award Agreement under Broadcom Corporation 2012 Stock Incentive Plan, as amended (effective December 6, 2019).

Broadcom Inc.

Annual Report on Form 10-K (Commission File No.

001-38449) December 20, 2019

Incorporated by Referenced Herein Filed

Description Form Filing Date

10.30+ Performance Stock Unit Award Agreement, dated June 15, 2017, between Broadcom Limited and Hock E.

1 unchanged sentence

001-37690) June 19, 2017

10.69+ Policy on Acceleration of Executive Staff Equity Awards in the Event of Permanent Disability.

10.31+ Performance Stock Unit Award Agreement, dated April 5, 2021, between Broadcom Inc.

Broadcom Inc.

Quarterly Report on Form 10-Q (Commission File No.

001-38449) March 15, 2019

10.70+ Policy on Acceleration of Equity Awards in the Event of Death.

001-38449) June 11, 2021

10.32+ Policy on Acceleration of Executive Staff Equity Awards in the Event of Permanent Disability (as amended June 2, 2021).

Broadcom Inc.

Quarterly Report on Form 10-Q (Commission File No.

001-38449) March 15, 2019

Current Report on Form 8-K (Commission File No.

001-38449) June 3, 2021

10.33+ Policy on Acceleration of Equity Awards in the Event of Death (as amended June 2, 2021).

Broadcom Inc.

Current Report on Form 8-K (Commission File No.

001-38449) June 3, 2021

10.34+ Amended and Restated Severance Benefits Agreement, dated December 10, 2020, between Broadcom Inc.

31 unchanged sentences

Pursuant to Rule 13a-14 of the Securities Exchange Act of 1934, As Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.

Incorporated by Referenced Herein Filed

Description Form Filing Date

31.2 Certification of Principal Financial Officer of Broadcom Inc.

9 unchanged sentences

101.CAL XBRL Calculation Linkbase Document X

Incorporated by Referenced Herein Filed

Description Form Filing Date

101.DEF XBRL Definition Linkbase Document X

37 unchanged sentences

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-K

Item 9A. Controls and Procedures