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Item 9A. Controls and Procedures

2023-12-14 compared with 2022-12-16 · 185 added, 257 removed, 253 unchanged (64% of the section changed)

21 unchanged sentences

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 29, 2023 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

5 unchanged sentences

EXECUTIVE COMPENSATION

The information required by Item 11 is incorporated herein by reference from sections entitled “Board of Directors — Director Compensation,” “Board of Directors — Board Committees — Compensation Committee — Compensation Committee Interlocks and Insider Participation,” “Compensation Discussion and Analysis,” “Compensation Committee Report” and “Executive Compensation” in our definitive Proxy Statement for our 2023 Annual Meeting of Stockholders.

The information required by Item 11 is incorporated herein by reference from sections entitled “Board of Directors — Director Compensation,” “Board of Directors — Board Committees — Compensation Committee — Compensation Committee Interlocks and Insider Participation,” “Compensation Discussion and Analysis,” “Compensation Committee Report,” “Executive Compensation,” “CEO Pay Ratio” and “Pay versus Performance” in our definitive Proxy Statement for our 2024 Annual Meeting of Stockholders.

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

21 unchanged sentences

Incorporated by Reference

Exhibit Number Description Form (File No.) Filing Date Filed Herewith

2.1# Agreement and Plan of Merger, dated as of July 11, 2018, by and among Broadcom Inc., Collie Acquisition Corp.

Broadcom Inc.

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

001-38449) July 12, 2018

2.2# Asset Purchase Agreement, dated August 8, 2019, by and between Broadcom Inc.

and Symantec Corporation.

Broadcom Inc.

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

001-38449) August 9, 2019

2.3# APA Letter Agreement, dated as of October 1, 2020, by and between Broadcom Inc.

and NortonLifeLock Inc.

Broadcom Inc.

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

001-38449) December 18, 2020

Exhibit Number Description Form

Filing Date Filed Herewith

2.1 Agreement and Plan of Merger, dated as of May 26, 2022, by and among Broadcom Inc., VMware, Inc., Verona Holdco, Inc., Verona Merger Sub, Inc., Barcelona Merger Sub 2, Inc.

1 unchanged sentence

Broadcom Inc.

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

001-38449) May 26, 2022

Current Report on Form 8-K

3.1 Amended and Restated Certificate of Incorporation.

Broadcom Inc.

Current Report on Form 8-K12B (Commission File No.001-38449) April 4, 2018

Incorporated by Reference

Exhibit Number Description Form (File No.) Filing Date Filed Herewith

Current Report on Form 8-K12B

3.2 Certificate of Designation of the 8.00% Mandatory Convertible Preferred Stock, Series A.

Broadcom Inc.

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

001-38449) September 30, 2019

Current Report on Form 8-K

001-38449 3.1

3.3 Amended and Restated Bylaws.

Broadcom Inc.

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

001-38449) April 4, 2018

Current Report on Form 8-K12B

001-38449 3.2

4.1 Form of Common Stock Certificate.

Broadcom Inc.

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

001-38449) June 14, 2018

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

Broadcom Inc.

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

001-38449) September 30, 2019

Quarterly Report on Form 10-Q

001-38449 4.1

4.2 Description of Common Stock.

Broadcom Inc.

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

001-38449) December 20, 2019

4.4 Description of 8.00% Mandatory Convertible Preferred Stock, Series A.

Broadcom Inc.

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

001-38449) December 20, 2019

Annual Report on Form 10-K

001-38449 4.3

Incorporated by Reference

Exhibit Number Description Form

Filing Date Filed Herewith

4.3 Indenture, dated as of January 19, 2017, by and among the Broadcom Corporation and Broadcom Cayman Finance Limited (the “Co-Issuers”), the guarantors and Wilmington Trust, National Association, as trustee.

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

001-37690) January 20, 2017

Broadcom Limited Current Report on Form 8-K

4.4 Supplement Indenture to the January 2017 Indenture, dated as of April 9, 2018.

Broadcom Inc.

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

001-38449) April 9, 2018

Current Report on Form 8-K

001-38449 4.1

4.5 Second Supplement Indenture to the January 2017 Indenture, dated as of January 25, 2019.

Broadcom Inc.

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

001-38449) January 25, 2019

4.8 Form of 3.000% Senior Note s due 2022 (included in Exhibit 4.5).

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

001-37690) January 20, 2017

4.9 Form of 3.625% Senior Note s due 2024 (included in Exhibit 4.5).

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

001-37690) January 20, 2017

4.10 Form of 3.875% Senior Note s due 2027 (included in Exhibit 4.5).

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

001-37690) January 20, 2017

Current Report on Form 8-K

001-38449 4.1

4.6 Form of 3.625% Senior Notes due 2024 (included in Exhibit 4.5).

Broadcom Limited Current Report on Form 8-K

001-37690 4.1

4.7 Form of 3.875% Senior Notes due 2027 (included in Exhibit 4.5).

Broadcom Limited Current Report on Form 8-K

001-37690 4.1

4.8 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.

001-37690) October 17, 2017

Broadcom Limited Current Report on Form 8-K

001-37690 4.1

4.9 Supplemental Indenture to October 2017 Indenture, dated as of April 9, 2018.

Broadcom Inc.

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

001-38449) April 9, 2018

Incorporated by Reference

Exhibit Number Description Form (File No.) Filing Date Filed Herewith

Current Report on Form 8-K

001-38449 4.2

4.10 Second Supplemental Indenture to October 2017 Indenture, dates as of January 25, 2019.

Broadcom Inc.

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

001-38449) January 25, 2019

4.14 Form of 2.650% Senior Note s due 2023 (included in Exhibit 4.11).

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

001-37690) October 17, 2017

4.15 Form of 3.125% Senior Note s due 2025 (included in Exhibit 4.11).

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

001-37690) October 17, 2017

4.16 Form of 3.500% Senior Note s due 2028 (included in Exhibit 4.11).

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

001-37690) October 17, 2017

4.17 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.

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

001-38449) April 5, 2019

Current Report on Form 8-K

001-38449 4.2

4.11 Form of 2.650% Senior Notes due 2023 (included in Exhibit 4.11).

Broadcom Limited Current Report on Form 8-K

001-37690 4.1

4.12 Form of 3.125% Senior Notes due 2025 (included in Exhibit 4.11).

Broadcom Limited Current Report on Form 8-K

001-37690 4.1

4.13 Form of 3.500% Senior Notes due 2028 (included in Exhibit 4.11).

Broadcom Limited Current Report on Form 8-K

001-37690 4.1

4.14 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.

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

001-38449) April 5, 2019

Current Report on Form 8-K

001-38449 4.1

4.15 Form of 3.625% Senior Notes due 2024 (included in Exhibit 4.17).

Broadcom Inc.

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

001-38449) April 5, 2019

Current Report on Form 8-K

001-38449 4.1

4.16 Form of 4.750% Senior Notes due 2029 (included in Exhibit 4.17).

Broadcom Inc.

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

001-38449) April 5, 2019

Current Report on Form 8-K

001-38449 4.1

4.17 Indenture, dated as of April 9, 2020, by and among the Company, as Issuer, Broadcom Technologies Inc.

1 unchanged sentence

Broadcom Inc.

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

001-38449) April 9, 2020

4.22 Form of 4.700% Senior Notes due 2025 (included in Exhibit 4.21) .

Broadcom Inc.

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

001-38449) April 9, 2020

Current Report on Form 8-K

001-38449 4.1

Incorporated by Reference

Exhibit Number Description Form

Filing Date Filed Herewith

4.18 Form of 5.000% Senior Notes due 2030 (included in Exhibit 4.21) .

Broadcom Inc.

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

001-38449) April 9, 2020

Current Report on Form 8-K

001-38449 4.1

4.19 Indenture, dated as of May 8, 2020, by and among the Company, as Issuer, the 2020 Guarantors, and Wilmington Trust, National Association, as trustee.

Broadcom Inc.

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

001-38449) May 8, 2020

Current Report on Form 8-K

001-38449 4.1

4.20 Form of 2.250% Senior Notes due 2023 (included in Exhibit 4.24).

Broadcom Inc.

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

001-38449) May 8, 2020

Incorporated by Reference

Exhibit Number Description Form (File No.) Filing Date Filed Herewith

Current Report on Form 8-K 001-38449 4.1

4.21 Form of 3.150% Senior Notes due 2025 (included in Exhibit 4.24).

Broadcom Inc.

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

001-38449) May 8, 2020

Current Report on Form 8-K 001-38449 4.1

4.22 Form of 4.150% Senior Notes due 2030 (included in Exhibit 4.24).

Broadcom Inc.

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

001-38449) May 8, 2020

Current Report on Form 8-K 001-38449 4.1

4.23 Form of 4.300% Senior Notes due 2032 (included in Exhibit 4.24).

Broadcom Inc.

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

001-38449) May 8, 2020

Current Report on Form 8-K 001-38449 4.1

4.24 Indenture, dated as of May 21, 2020, 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) May 21, 2020

Current Report on Form 8-K 001-38449 4.1

4.25 Form of 3.459% Senior Notes due 2026 (included in Exhibit 4.29).

Broadcom Inc.

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

001-38449) May 21, 2020

Current Report on Form 8-K 001-38449 4.1

4.26 Form of 4.110% Senior Notes due 2028 (included in Exhibit 4.29).

Broadcom Inc.

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

001-38449) May 21, 2020

Current Report on Form 8-K 001-38449 4.1

4.27 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

Current Report on Form 8-K 001-38449 4.1

4.28 Form of 1.950% Senior Notes due 2028 (included in Exhibit 4.32).

Broadcom Inc.

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

001-38449) January 19, 2021

Current Report on Form 8-K 001-38449 4.1

4.29 Form of 2.450% Senior Notes due 2031 (included in Exhibit 4.32).

Broadcom Inc.

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

001-38449) January 19, 2021

Current Report on Form 8-K 001-38449 4.1

4.30 Form of 2.600% Senior Notes due 2033 (included in Exhibit 4.32).

Broadcom Inc.

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

001-38449) January 19, 2021

Current Report on Form 8-K 001-38449 4.1

4.31 Form of 3.500% Senior Notes due 2041 (included in Exhibit 4.32).

Broadcom Inc.

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

001-38449) January 19, 2021

Current Report on Form 8-K 001-38449 4.1

4.32 Form of 3.750% Senior Notes due 2051 (included in Exhibit 4.32).

Broadcom Inc.

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

001-38449) January 19, 2021

Current Report on Form 8-K 001-38449 4.1

Incorporated by Reference

Exhibit Number Description Form

Filing Date Filed Herewith

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

1 unchanged sentence

Broadcom Inc.

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

001-38449) January 19, 2021

Incorporated by Reference

Exhibit Number Description Form (File No.) Filing Date Filed Herewith

Current Report on Form 8-K 001-38449 4.7

4.34 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

Current Report on Form 8-K 001-38449 4.1

4.35 Form of 3.419% Senior Notes due 2033 (included in Exhibit 4.39) .

Broadcom Inc.

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

001-38449) March 31, 2021

Current Report on Form 8-K 001-38449 4.1

4.36 Form of 3.469% Senior Notes due 2034 (included in Exhibit 4.39) .

Broadcom Inc.

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

001-38449) March 31, 2021

Current Report on Form 8-K 001-38449 4.1

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

1 unchanged sentence

Broadcom Inc.

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

001-38449) March 31, 2021

Current Report on Form 8-K 001-38449 4.4

4.38 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

Current Report on Form 8-K 001-38449 4.1

4.39 Form of 3.137% Senior Notes due 2035 (included in Exhibit 4.43).

Broadcom Inc.

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

001-38449) September 30, 2021

Current Report on Form 8-K 001-38449 4.1

4.40 Form of 3.187% Senior Notes due 2036 (included in Exhibit 4.43).

Broadcom Inc.

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

001-38449) September 30, 2021

Current Report on Form 8-K 001-38449 4.1

4.41 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-mangers in connection with the September 2021 e xchange o ffer.

Morgan Securities LLC and TD Securities (USA) LLC, as dealer-mangers in connection with the September 2021 exchange offer.

Broadcom Inc.

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

001-38449) September 30, 2021

Current Report on Form 8-K 001-38449 4.4

4.42 Indenture, dated April 14, 2022, between the Company and Wilmington Trust, National Association, as trustee.

Broadcom Inc.

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

001-38449) April 15, 2022

Current Report on Form 8-K 001-38449 4.1

4.43 Form of 4.00% Senior Notes due 2029 (included in Exhibit 4.47).

Broadcom Inc.

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

001-38449) April 15, 2022

Current Report on Form 8-K 001-38449 4.1

4.44 Form of 4.15% Senior Notes due 2032 (included in Exhibit 4.47).

Broadcom Inc.

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

001-38449) April 15, 2022

Current Report on Form 8-K 001-38449 4.1

Incorporated by Reference

Exhibit Number Description Form

Filing Date Filed Herewith

4.45 Registration Rights Agreement, dated as of April 14, 2022, between the Company and BofA Securities, Inc., HSBC Securities (USA) Inc., and RBC Capital Markets, LLC, as representatives of the several initial purchasers of the April 2022 Senior Notes.

Broadcom Inc.

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

001-38449) April 15, 2022

Current Report on Form 8-K 001-38449 4.4

4.46 Indenture, dated April 18, 2022, between the Company and Wilmington Trust, National Association, as trustee.

Broadcom Inc.

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

001-38449) April 18, 2022

Incorporated by Reference

Exhibit Number Description Form (File No.) Filing Date Filed Herewith

Current Report on Form 8-K 001-38449 4.1

4.47 Form of 4.926% Senior Notes due 2037 (included in Exhibit 4.51).

Broadcom Inc.

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

001-38449) April 18, 2022

Current Report on Form 8-K 001-38449 4.1

4.48 Registration Rights Agreement, dated April 18, 2022, between the Company and Barclays Capital Inc., BBVA Securities Inc., BNP Paribas Securities Corp.

1 unchanged sentence

Broadcom Inc.

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

001-38449) April 18, 2022

Current Report on Form 8-K 001-38449 4.3

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

Broadcom Inc.

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

001-38449) April 4, 2018

Current Report on Form 8-K12B

001-38449 10.1

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.

Broadcom Inc.

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

001-38449) May 7, 2019

Current Report on Form 8-K

001-38449 10.1

10.3 Credit Agreement, dated as of November 4, 2019, among Broadcom Inc., 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) November 4, 2019

Current Report on Form 8-K

001-38449 10.1

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

Current Report on Form 8-K

001-38449 10.1

10.5 Amendment No.

1, dated April 18, 2023, among Broadcom Inc., the lenders and other parties thereto, and Bank of America, N.A., as Administrative Agent, to the Credit Agreement, dated as of January 19, 2021 .

Broadcom Inc.

Quarterly Report on Form 10-Q

001-38449 10.1

10.6 Credit Agreement, dated as of August 15, 2023, among Broadcom, the lenders and other parties party thereto, and Bank of America, N.A., as Administrative Agent.

Broadcom Inc.

Current Report on Form 8-K

001-38449 10.1

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

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

001-37690) December 21, 2017

Broadcom Limited Annual Report on Form 10-K

10.8 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

Annual Report on Form 10-K

001-38449 10.12

Incorporated by Reference

Exhibit Number Description Form

Filing Date Filed Herewith

10.9 + Settlement and Patent License and Non-Assert Agreement by and between Qualcomm Incorporated and Broadcom Corporation.

Broadcom Corporation Current Report on Form 8-K/A (Commission File No.

000-23993) July 23, 2009

Broadcom Corporation

Current Report on

10.10 + Avago Technologies Limited 2009 Equity Incentive Award Plan.

Amendment No.

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

333-153127) July 27, 2009

Avago Technologies Limited Amendment No.

5 to Registration Statement on

10.18 07-27-2009

10.11 + Broadcom Inc.

1 unchanged sentence

Broadcom Inc.

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

001-38449) February 19, 2019

Definitive Proxy Statement on Schedule 14A

001-38449 Appendix B-1

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

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

333-195741) May 6, 2014

Avago Technologies Limited Registration Statement on

10.13 + Amendment to the LSI Corporation 2003 Equity Incentive Plan (effective February 1, 2016).

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

001-37690) December 23, 2016

Incorporated by Reference

Exhibit Number Description Form (File No.) Filing Date Filed Herewith

Broadcom Limited Annual Report on Form 10-K

10.14 + Amendment to the LSI Corporation 2003 Equity Incentive Plan (effective April 4, 2018).

Broadcom Inc.

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

001-38449) April 4, 2018

Current Report on Form 8-K12B

001-38449 10.10

10.15 + Broadcom Inc.

1 unchanged sentence

Broadcom Inc.

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

001-38449) June 11, 2021

Quarterly Report on Form 10-Q

001-38449 10.1

10.16 + Form of Annual Bonus Plan for Executive Employees.

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

001-37690) December 23, 2016

Broadcom Limited Annual Report on Form 10-K

10.17 + Form of Option Agreement under Avago Technologies Limited 2009 Equity Incentive Plan.

Amendment No.

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

333-153127) July 27, 2009

Avago Technologies Limited Amendment No.

5 to Registration Statement on

10.18 + Form of Restricted Stock Unit Agreement (Sell to Cover) Under Avago Technologies Limited 2009 Equity Incentive Award Plan (effective December 5, 2017).

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

001-37690) December 21, 2017

Broadcom Limited Annual Report on Form 10-K

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

Broadcom Inc.

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

001-38449) December 6, 2018

Current Report on Form 8-K

001-38449 10.1

10.20 + Form of Performance Share Unit Agreement (Relative TSR) under Avago Technologies Limited 2009 Equity Incentive Plan (effective March 13, 2018).

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

001-37690) March 15, 2018

Broadcom Limited Quarterly Report on Form 10-Q

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

Broadcom Inc.

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

001-38449) December 6, 2018

Current Report on Form 8-K

001-38449 10.2

Incorporated by Reference

Exhibit Number Description Form

Filing Date Filed Herewith

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

Broadcom Inc.

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

001-38449) December 18, 2020

Annual Report on Form 10-K

001-38449 10.51

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

Broadcom Inc.

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

001-38449) December 18, 2020

Annual Report on Form 10-K

001-38449 10.52

10.24 + Form of Restricted Stock Unit Award Agreement under Broadcom Corporation 2012 Stock Incentive Plan (effective December 5, 2017).

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

001-37690) December 21, 2017

Broadcom Limited Annual Report on Form 10-K

10.61 12-21-2017

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

1 unchanged sentence

Broadcom Inc.

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

001-38449) June 11, 2021

Quarterly Report on Form 10-Q

001-38449 10.3

10.26 + Form of Performance Share Unit Agreement (Relative TSR) under Broadcom Corporation 2012 Stock Incentive Plan (effective March 15, 2018).

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

001-37690) March 15, 2018

Broadcom Limited Quarterly Report on Form 10-Q

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

1 unchanged sentence

Broadcom Inc.

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

001-38449) June 11, 2021

Incorporated by Reference

Exhibit Number Description Form (File No.) Filing Date Filed Herewith

Quarterly Report on Form 10-Q

001-38449 10.4

10.28 + Form of Performance Stock Unit Award Agreement (Price Contingency) under Broadcom Inc.

1 unchanged sentence

Broadcom Inc.

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

001-38449) November 2, 2022

Current Report on Form 8-K

001-38449 10.1

10.29 + 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) June 11, 2021

Quarterly Report on Form 10-Q

001-38449 10.2

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

Broadcom Inc.

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

001-38449) June 3, 2021

10.29+ 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

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

Current Report on Form 8-K

001-38449 10.1

10.31 + Policy on Acceleration of Equity Awards in the Event of Death (as amended January 1, 2023 ).

Broadcom Inc.

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

001-38449) December 10, 2020

Quarterly Report on Form 10-Q

001-38449 10.2

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

and Thomas H.

Broadcom Inc.

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

001-38449) December 10, 2020

Current Report on Form 8-K

001-38449 10.1

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

1 unchanged sentence

Broadcom Inc.

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

001-38449) December 10, 2020

Current Report on Form 8-K

001-38449 10.2

10.34 + Severance Benefits Agreement, dated September 26, 2017, between Broadcom Limited and Mark Brazeal.

Broadcom Inc.

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

001-38449) June 16, 2018

Quarterly Report on Form 10-Q

001-38449 10.18

10.35 + Severance Benefits Agreement, dated December 10, 2020, between Broadcom Inc.

1 unchanged sentence

Broadcom Inc.

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

001-38449) December 10, 2020

Current Report on Form 8-K

001-38449 10.5

21.1 List of Subsidiaries.

Incorporated by Reference

Exhibit Number Description Form

Filing Date Filed Herewith

23.1 Consent of PricewaterhouseCoopers LLP, independent registered public accounting firm.

1 unchanged sentence

31.1 Certification of Principal Executive Officer of Broadcom Inc.

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.

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

31.2 Certification of Principal Financial Officer of Broadcom Inc.

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.

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

32.1 Certification of Principal Executive Officer of Broadcom Inc.

Pursuant to 18 U.S.C.

Section 1350, As Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

Incorporated by Reference

Exhibit Number Description Form (File No.) Filing Date Filed Herewith

Section 1350, a s Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

32.2 Certification of Principal Financial Officer of Broadcom Inc.

Pursuant to 18 U.S.C.

Section 1350, As Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

99.1 Voting Agreement, dated as of May 26, 2022, by and among Broadcom Inc., Michael S.

Dell and Susan Lieberman Dell Separate Property Trust.

Broadcom Inc.

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

001-38449) May 26, 2022

99.2 Voting Agreement, dated as of May 26, 2022, by and among Broadcom Inc., Silver Lake Partners IV, L.P., Silver Lake Technology Investors IV, L.P., Silver Lake Partners V DE (AIV), L.P., Silver Lake Technology Investors V, L.P., SL SPV-2, L.P.

and Silver Lake Group, L.L.C.

Broadcom Inc.

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

001-38449) May 26, 2022

Section 1350, a s Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

Clawback Policy .

101.INS XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.

101.SCH XBRL Schema Document X

101.CAL XBRL Calculation Linkbase Document X

101.DEF XBRL Definition Linkbase Document X

101.LAB XBRL Labels Linkbase Document X

101.PRE XBRL Presentation Linkbase Document X

101.SCH XBRL Schema Document.

101.CAL XBRL Calculation Linkbase Document.

101.DEF XBRL Definition Linkbase Document.

101.LAB XBRL Labels Linkbase Document.

101.PRE XBRL Presentation Linkbase Document.

104 Cover Page Interactive Data File - the cover page interactive data file does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.

16 unchanged sentences

Signature Title Date

Tan President and Chief Executive

Tan President, Chief Executive

Officer and Director

(Principal Executive Officer) December 16, 2022

(Principal Executive Officer)

December 14, 2023

/s/ Kirsten M.

13 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