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Item 9A. Controls and Procedures

2024-12-20 compared with 2023-12-14 · 117 added, 216 removed, 222 unchanged (60% 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 October 29, 2023.

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 October 29, 2023, 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 November 3, 2024, 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

Our management is responsible for establishing and maintaining adequate internal control over financial reporting.

Internal control over financial reporting is defined in Rules 13a-15(f) and 15d-15(f) promulgated under the Exchange Act as a process designed by, or under the supervision of, our principal executive and principal financial officers and effected by the Board, management and other personnel, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with GAAP and includes those policies and procedures that:

Internal control over financial reporting is defined in Rules 13a-15(f) and 15d-15(f) promulgated under the Exchange Act as a process designed by, or under the supervision of, our principal executive and principal financial officers and effected by the Board of Directors, management and other personnel, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with GAAP and includes those policies and procedures that:

• pertain to the maintenance of records that in reasonable detail accurately and fairly reflect the transactions and dispositions of the assets;

3 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 October 29, 2023.

Our management assessed the effectiveness of our internal control over financial reporting as of November 3, 2024.

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 October 29, 2023, our internal control over financial reporting is effective based on those criteria.

The effectiveness of our internal control over financial reporting as of October 29, 2023 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 November 3, 2024, our internal control over financial reporting is effective based on those criteria.

The effectiveness of our internal control over financial reporting as of November 3, 2024 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 October 29, 2023 that has materially affected, or is reasonably likely to materially affect, our 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 3, 2024 that has materially affected, or is reasonably likely to materially affect, our internal control over financial reporting.

OTHER INFORMATION

Insider Trading Arrangements

On September 23, 2024 , Diane M.

Bryant , a member of our Board of Directors , adopted a trading plan intended to satisfy Rule 10b5-1(c) under the Exchange Act (the “Trading Plan”).

The Trading Plan provides for the potential sale of up to 15,000 shares of Broadcom common stock so long as the market price of Broadcom common stock satisfies certain threshold prices specified in the Trading Plan.

The Trading Plan will expire on September 12, 2025 , subject to early termination for certain specified events set forth in the Trading Plan.

DISCLOSURE REGARDING FOREIGN JURISDICTIONS THAT PREVENT INSPECTIONS

1 unchanged sentence

DIRECTORS, EXECUTIVE OFFICERS AND CORPORATE GOVERNANCE

The information required by Item 10 is incorporated herein by reference from sections entitled “Board of Directors,” “Corporate Governance” and “Proposal 1 — Election of Directors” in our definitive Proxy Statement for our 2024 Annual Meeting of Stockholders.

Broadcom has adopted an insider trading compliance policy that governs the purchase, sale, and/or other transactions of our securities by our directors, officers and employees and Broadcom itself.

A copy of our insider trading compliance policy is filed as Exhibit 19.1 to this Annual Report on Form 10-K.

The remaining information required by Item 10 is incorporated herein by reference from sections entitled “Board of Directors,” “Corporate Governance” and “Proposal 1 — Election of Directors” in our definitive Proxy Statement for our 2025 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 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.

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,” and “CEO Pay Ratio” in our definitive Proxy Statement for our 2025 Annual Meeting of Stockholders.

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

25 unchanged sentences

and Barcelona Merger Sub 3, LLC.

Broadcom Inc.

Current Report on Form 8-K

3.1 Amended and Restated Certificate of Incorporation.

Broadcom Inc.

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

001-38449 3.1

3.1 Amended and Restated Certificate of Incorporation (including all amendments thereto) .

3.2 Amended and Restated Bylaws.

Broadcom Inc.

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

001-38449 4.1

4.2 Description of Common Stock.

Broadcom Inc.

Annual Report on Form 10-K

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.

4.4 First S upplement al Indenture to the January 2017 Indenture, dated as of April 9, 2018.

001-38449 4.1

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

001-38449 4.1

Incorporated by Reference

1 unchanged sentence

Filing Date Filed Herewith

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

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

001-38449 4.1

4.6 Form of 3.625% Senior Notes due 2024 (included in Exhibit 4.3).

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 4.3).

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

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

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

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

4.10 Second Supplemental Indenture to the October 2017 Indenture, date d as of January 25, 2019.

001-38449 4.2

4.11 Form of 2.650% Senior Notes due 2023 (included in Exhibit 4.8).

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 4.8).

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 4.8).

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

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 , and Wilmington Trust, National Association, as trustee.

001-38449 4.1

4.15 Form of 3.625% Senior Notes due 2024 (included in Exhibit 4.14).

Broadcom Inc.

Current Report on Form 8-K

001-38449 4.1

4.16 Form of 4.750% Senior Notes due 2029 (included in Exhibit 4.14).

Broadcom Inc.

Current Report on Form 8-K

001-38449 4.1

1 unchanged sentence

and Broadcom Corporation (the “2020 Guarantors”), and Wilmington Trust, National Association, as trustee.

Broadcom Inc.

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 4.17).

Broadcom Inc.

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

001-38449 4.1

4.20 Form of 2.250% Senior Notes due 2023 (included in Exhibit 4.19).

Broadcom Inc.

Current Report on Form 8-K 001-38449 4.1

001-38449 4.1

4.21 Form of 3.150% Senior Notes due 2025 (included in Exhibit 4.19).

Broadcom Inc.

Current Report on Form 8-K 001-38449 4.1

001-38449 4.1

4.22 Form of 4.150% Senior Notes due 2030 (included in Exhibit 4.19).

Broadcom Inc.

Current Report on Form 8-K 001-38449 4.1

001-38449 4.1

4.23 Form of 4.300% Senior Notes due 2032 (included in Exhibit 4.19).

Broadcom Inc.

Current Report on Form 8-K 001-38449 4.1

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 001-38449 4.1

001-38449 4.1

4.25 Form of 3.459% Senior Notes due 2026 (included in Exhibit 4.24).

Broadcom Inc.

Current Report on Form 8-K 001-38449 4.1

001-38449 4.1

Incorporated by Reference

Exhibit Number Description Form

Filing Date Filed Herewith

4.26 Form of 4.110% Senior Notes due 2028 (included in Exhibit 4.24).

Broadcom Inc.

Current Report on Form 8-K 001-38449 4.1

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 001-38449 4.1

001-38449 4.1

4.28 Form of 1.950% Senior Notes due 2028 (included in Exhibit 4.27).

Broadcom Inc.

Current Report on Form 8-K 001-38449 4.1

001-38449 4.1

4.29 Form of 2.450% Senior Notes due 2031 (included in Exhibit 4.27).

Broadcom Inc.

Current Report on Form 8-K 001-38449 4.1

001-38449 4.1

4.30 Form of 2.600% Senior Notes due 2033 (included in Exhibit 4.27).

Broadcom Inc.

Current Report on Form 8-K 001-38449 4.1

001-38449 4.1

4.31 Form of 3.500% Senior Notes due 2041 (included in Exhibit 4.27).

Broadcom Inc.

Current Report on Form 8-K 001-38449 4.1

001-38449 4.1

4.32 Form of 3.750% Senior Notes due 2051 (included in Exhibit 4.27).

Broadcom Inc.

Current Report on Form 8-K 001-38449 4.1

Incorporated by Reference

Exhibit Number Description Form

Filing Date Filed Herewith

001-38449 4.1

4.33 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 001-38449 4.7

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 001-38449 4.1

001-38449 4.1

4.35 Form of 3.419% Senior Notes due 2033 (included in Exhibit 4.34).

Broadcom Inc.

Current Report on Form 8-K 001-38449 4.1

001-38449 4.1

4.36 Form of 3.469% Senior Notes due 2034 (included in Exhibit 4.34).

Broadcom Inc.

Current Report on Form 8-K 001-38449 4.1

001-38449 4.1

4.37 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 Exchange Offer.

Broadcom Inc.

Current Report on Form 8-K 001-38449 4.4

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 001-38449 4.1

001-38449 4.1

4.39 Form of 3.137% Senior Notes due 2035 (included in Exhibit 4.38).

Broadcom Inc.

Current Report on Form 8-K 001-38449 4.1

001-38449 4.1

4.40 Form of 3.187% Senior Notes due 2036 (included in Exhibit 4.38).

Broadcom Inc.

Current Report on Form 8-K 001-38449 4.1

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 exchange offer.

Broadcom Inc.

Current Report on Form 8-K 001-38449 4.4

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 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 001-38449 4.1

001-38449 4.1

4.43 Form of 4.00% Senior Notes due 2029 (included in Exhibit 4.42).

Broadcom Inc.

Current Report on Form 8-K 001-38449 4.1

001-38449 4.1

Incorporated by Reference

1 unchanged sentence

Filing Date Filed Herewith

4.44 Form of 4.15% Senior Notes due 2032 (included in Exhibit 4.42).

001-38449 4.1

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 001-38449 4.4

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 001-38449 4.1

001-38449 4.1

4.47 Form of 4.926% Senior Notes due 2037 (included in Exhibit 4.46).

Broadcom Inc.

Current Report on Form 8-K 001-38449 4.1

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.

Morgan Securities LLC, as dealer-managers in connection with the April 2022 Exchange Offer.

Broadcom Inc.

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

001-38449 4.3

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

4.49 Indenture, dated July 12, 2024, between the Company and Wilmington Trust, National Association, as trustee.

001-38449 4.1

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

4.50 Supplemental Indenture No.

1, dated July 12, 2024, between the Company and Wilmington Trust, National Association, as trustee.

001-38449 4.2

4.51 Form of 5.050% Senior Notes due 2027 (included in Exhibit 4.50).

001-38449 4.2

4.52 Form of 5.050% Senior Notes due 2029 (included in Exhibit 4.50).

001-38449 4.2

4.53 Form of 5.150% Senior Notes due 2031 (included in Exhibit 4.50).

001-38449 4.2

4.54 Supplemental Indenture No.

2, dated October 2, 2024, between the Company and Wilmington Trust, National Association, as trustee.

001-38449 4.2

4.55 Form of 4.150% Senior Note s due 2028 (included in Exhibit 4.54).

001-38449 4.2

4.56 Form of 4.350% Senior Note s due 2030 (included in Exhibit 4.54).

001-38449 4.2

4.57 Form of 4.550% Senior Note s due 2032 (included in Exhibit 4.54).

001-38449 4.2

4.58 Form of 4.800% Senior Note s due 2034 (included in Exhibit 4.54).

001-38449 4.2

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

001-38449 10.1

10.2 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

001-38449 10.1

1 unchanged sentence

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

Incorporated by Reference

Exhibit Number Description Form

Filing Date Filed Herewith

10.4 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

10.5 First Amendment to Credit Agreement, dated as of December 1, 2023, amending the Credit Agreement, dated as of August 15, 2023, among Broadcom, the lenders and other parties thereto, and Bank of America, N.A., as Administrative Agent.

10-Q 001-38449 10.5 03-14-2024

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

Broadcom Limited Annual Report on Form 10-K

10.7 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

001-38449 10.18

Incorporated by Reference

Exhibit Number Description Form

Filing Date Filed Herewith

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

Broadcom Corporation

Current Report on

10.9 + Avago Technologies Limited 2009 Equity Incentive Award Plan.

Avago Technologies Limited Amendment No.

5 to Registration Statement on

10.18 07-27-2009

1 unchanged sentence

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

Broadcom Inc.

Definitive Proxy Statement on Schedule 14A

001-38449 Appendix B-1

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

Avago Technologies Limited Registration Statement on

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

Broadcom Limited Annual Report on Form 10-K

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

Broadcom Inc.

Current Report on Form 8-K12B

001-38449 10.10

1 unchanged sentence

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

Broadcom Inc.

Quarterly Report on Form 10-Q

001-38449 10.1

10.15 + VMware, Inc.

Amended and Restated 2007 Equity and Incentive Plan.

333-275702 99.1

10.16 + Form of Annual Bonus Plan for Executive Employees.

Broadcom Limited Annual Report on Form 10-K

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

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

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

10.17 + Form of Agreement for Multi-Year Equity Award of Restricted Stock Unit Award under the Avago Technologies Limited 2009 Equity Incentive Award Plan (effective December 5, 2017 ).

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

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

10.18 + Form of Agreement for Multi-Year Equity Award of Performance Stock Units under the Avago Technologies Limited 2009 Equity Incentive Award Plan (effective March 13, 2018 ).

001-38449 10.2

Incorporated by Reference

Exhibit Number Description Form

Filing Date Filed Herewith

10.19 + 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

001-38449 10.51

10.20 + 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

001-38449 10.52

10.21 + 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

10.61 12-21-2017

Incorporated by Reference

Exhibit Number Description Form

Filing Date Filed Herewith

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

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

Broadcom Inc.

Quarterly Report on Form 10-Q

001-38449 10.3

10.23 + 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

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

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

Broadcom Inc.

Quarterly Report on Form 10-Q

001-38449 10.4

1 unchanged sentence

2012 Stock Incentive Plan.

Broadcom Inc.

Current Report on Form 8-K

001-38449 10.1

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

001-38449 10.2

10.27 + Broadcom Inc.

Quarterly Report on Form 10-Q

2023 Inducement Plan.

333-276053 99.1

10.28 + Form of Restricted Stock Unit Agreement under Broadcom Inc.

2023 Inducement Plan.

333-276053 99.2

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

2023 Inducement Plan.

333-276053 99.3

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

001-38449 10.1

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

Broadcom Inc.

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.

Broadcom Inc.

Current Report on Form 8-K

001-38449 10.1

1 unchanged sentence

and Charlie B.

Broadcom Inc.

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

001-38449 10.18

1 unchanged sentence

and Kirsten M.

Broadcom Inc.

Current Report on Form 8-K

001-38449 10.5

19.1 B roadcom Inc.

Insider Trading Compliance Policy

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, a s Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.

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.

31.2 Certification of Principal Financial Officer of Broadcom Inc.

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.

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 Reference

Exhibit Number Description Form

Filing Date Filed Herewith

32.1 Certification of Principal Executive Officer of Broadcom Inc.

Pursuant to 18 U.S.C.

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

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

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

97.1 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.

101.CAL XBRL Calculation Linkbase Document.

101.DEF XBRL Definition Linkbase Document.

101.LAB XBRL Labels Linkbase Document.

101.PRE XBRL Presentation Linkbase Document.

001-38449 97.1

101.INS Inline 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 Inline XBRL Schema Document.

101.CAL Inline XBRL Calculation Linkbase Document.

101.DEF Inline XBRL Definition Linkbase Document.

101.LAB Inline XBRL Labels Linkbase Document.

101.PRE Inline 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.

+ Indicates a management contract or compensatory plan or arrangement.

# Schedules have been omitted pursuant to Item 601(b)(2) of Regulation S-K.

Broadcom Inc.

hereby undertakes to furnish supplementally copies of any omitted schedules upon request by the SEC.

* Certain information omitted pursuant to a request for confidential treatment filed with the SEC.

23 unchanged sentences

Delly Director December 20, 2024

Fernandez Director December 14, 2023

/s/ Kenneth Y.

Director December 20, 2024

/s/ Check Kian Low Director December 20, 2024

4 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