AVGO 10-K Annual Report Oct. 31, 2021 | Alphaminr
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AVGO 10-K Fiscal year ended Oct. 31, 2021

Balance Sheet
Cash Flow
Income Statement
Debt
TABLE OF CONTENTS
Part IItem 1. BusinessItem 1A. Risk FactorsItem 1B. Unresolved Staff CommentsItem 2. PropertiesItem 3. Legal ProceedingsItem 4. Mine Safety DisclosuresPart IIItem 5. Market For Registrant S Common Equity, Related Stockholder Matters and Issuer Purchases Of Equity SecuritiesItem 6. [reserved]Item 7. Management S Discussion and Analysis Of Financial Condition and Results Of OperationsItem 7A. Quantitative and Qualitative Disclosures About Market RiskItem 8. Financial Statements and Supplementary DataItem 9. Changes in and Disagreements with Accountants on Accounting and Financial DisclosureItem 9A. Controls and ProceduresItem 9B. Other InformationItem 9C. Disclosure Regarding Foreign Jurisdictions That Prevent InspectionsPart IIIItem 10. Directors, Executive Officers and Corporate GovernanceItem 11. Executive CompensationItem 12. Security Ownership Of Certain Beneficial Owners and Management and Related Stockholder MattersItem 13. Certain Relationships and Related Transactions, and Director IndependenceItem 14. Principal Accountant Fees and ServicesPart IVItem 15. Exhibits and Financial Statement SchedulesItem 16. Form 10-k Summary

Exhibits

2.1# Agreement and Plan of Merger, dated as of July 11, 2018, by and among Broadcom, Inc., Collie Acquisition Corp. and CA, Inc. Broadcom Inc. Current Report on Form8-K (Commission File No.001-38449) July 12, 2018 2.2# Asset Purchase Agreement, dated as of 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 3.1 Amended and Restated Certificate of Incorporation. Broadcom Inc. Current Report on Form8-K12B (Commission File No.001-38449) April 4, 2018 3.2 Certificate of Designation of the 8.00% Mandatory Convertible Preferred Stock, Series A. Broadcom Inc. Current Report on Form8-K (Commission File No.001-38449) September 30, 2019 3.3 Amended and Restated Bylaws. Broadcom Inc. Current Report on Form8-K12B (Commission File No.001-38449) April 4, 2018 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 Exhibit 3.2). Broadcom Inc. Current Report on Form8-K (Commission File No.001-38449) September 30, 2019 4.3 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 4.5 Indenture, dated as of January19, 2017, by and among theBroadcom Corporation and Broadcom Cayman Finance Limited (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 4.6 Supplement Indenture to the January 2017 Indenture, dated as of April 9, 2018. Broadcom Inc. Current Report on Form8-K (Commission File No.001-34889) April 9, 2018 4.7 Second Supplement Indenture to the January 2017 Indenture, dated as of January 25, 2019. Broadcom Inc. Current Report on Form8-K (Commission File No.001-38449) January 25, 2019 4.8 Form of 2.375% Senior Note due 2020 (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 3.000% Senior Note due 2022 (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 3.625% Senior Note due 2024 (included in Exhibit 4.5). Broadcom Limited Current Report on Form 8-K (Commission File No. 001-37690) January 20, 2017 4.11 Form of 3.875% Senior Note due 2027 (included in Exhibit 4.5). Broadcom Limited Current Report on Form 8-K (Commission File No. 001-37690) January 20, 2017 4.12 Indenture, dated as of October 17, 2017, by and among theCo-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 4.13 Supplement Indenture to October 2017 Indenture, dated as of April 9, 2018. Broadcom Inc. Current Report on Form8-K (Commission File No.001-38449) April 9, 2018 4.14 Second Supplement Indenture to October 2017 Indenture, dated as of January 25, 2019. Broadcom Inc. Current Report on Form8-K (Commission File No.001-38449) January 25, 2019 4.15 Form of 2.200% Senior Note due 2021 (included in Exhibit 4.12). Broadcom Limited Current Report on Form 8-K (Commission File No. 001-37690) October 17, 2017 4.16 Form of 2.650% Senior Note due 2023 (included in Exhibit 4.12). Broadcom Limited Current Report on Form 8-K (Commission File No. 001-37690) October 17, 2017 4.17 Form of 3.125% Senior Note due 2025 (included in Exhibit 4.12). Broadcom Limited Current Report on Form 8-K (Commission File No. 001-37690) October 17, 2017 4.18 Form of 3.500% Senior Note due 2028 (included in Exhibit 4.12). Broadcom Limited Current Report on Form 8-K (Commission File No. 001-37690) October 17, 2017 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. Current Report on Form8-K (Commission File No.001-38449) April 5, 2019 4.20 Form of 3.125% Senior Note due 2021 (included in Exhibit 4.19). Broadcom Inc. Current Report on Form8-K (Commission File No.001-38449) April 5, 2019 4.21 Form of 3.125% Senior Note due 2022 (included in Exhibit 4.19). Broadcom Inc. Current Report on Form8-K (Commission File No.001-38449) April 5, 2019 4.22 Form of 3.625% Senior Note due 2024 (included in Exhibit 4.19). Broadcom Inc. Current Report on Form8-K (Commission File No.001-38449) April 5, 2019 4.23 Form of 4.250% Senior Note due 2026 (included in Exhibit 4.19). Broadcom Inc. Current Report on Form8-K (Commission File No.001-38449) April 5, 2019 4.24 Form of 4.750% Senior Note due 2029 (included in Exhibit 4.19). Broadcom Inc. Current Report on Form 8-K (Commission File No. 001-38449) April 5, 2019 4.25 Registration Rights Agreement, dated as of April5, 2019, by and among the Company, the 2019 Guarantors and Merrill Lynch, Pierce, Fenner& Smith Incorporated and J.P.Morgan Securities LLC, as representatives of the several initial purchasers of the April 2019 Notes. Broadcom Inc. Current Report on Form 8-K (Commission File No. 001-38449) April 5, 2019 4.26 Indenture, dated as of April 9, 2020, by and among the Company, as Issuer, Broadcom Technologies Inc. and Broadcom Corporation (the 2020 Guarantors), and Wilmington Trust, National Association, as trustee. Broadcom Inc. Current Report on Form 8-K (Commission File No. 001-38449) April 9, 2020 4.27 Form of 4.700% Senior Notes due 2025 (included in Exhibit 4.26). Broadcom Inc. Current Report on Form 8-K (Commission File No. 001-38449) April 9, 2020 4.28 Form of 5.000% Senior Notes due 2030 (included in Exhibit 4.26). Broadcom Inc. Current Report on Form 8-K (Commission File No. 001-38449) April 9, 2020 4.29 Registration Rights Agreement, dated as of April 9, 2020, by and among the Company, the 2020 Guarantors and J.P. Morgan Securities LLC, as representative of the several initial purchasers of the April 2020 Senior Notes. Broadcom Inc. Current Report on Form 8-K (Commission File No. 001-38449) April 9, 2020 4.30 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 4.31 Form of 2.250% Senior Notes due 2023 (included in Exhibit 4.30). Broadcom Inc. Current Report on Form 8-K (Commission File No. 001-38449) May 8, 2020 4.32 Form of 3.150% Senior Notes due 2025 (included in Exhibit 4.30). Broadcom Inc. Current Report on Form 8-K (Commission File No. 001-38449) May 8, 2020 4.33 Form of 4.150% Senior Notes due 2030 (included in Exhibit 4.30). Broadcom Inc. Current Report on Form 8-K (Commission File No. 001-38449) May 8, 2020 4.34 Form of 4.300% Senior Notes due 2032 (included in Exhibit 4.30). Broadcom Inc. Current Report on Form 8-K (Commission File No. 001-38449) May 8, 2020 4.35 Registration Rights Agreement, dated as of May 8, 2020, by and among the Company, the 2020 Guarantors and Citigroup Global Markets Inc., HSBC Securities (USA) Inc., J.P. Morgan Securities LLC and Wells Fargo Securities, LLC, as representatives of the several initial purchasers of the May 2020 Senior Notes. Broadcom Inc. Current Report on Form 8-K (Commission File No. 001-38449) May 8, 2020 4.36 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 4.37 Form of 3.459% Senior Notes due 2026 (included in Exhibit 4.36). Broadcom Inc. Current Report on Form 8-K (Commission File No. 001-38449) May 21, 2020 4.38 Form of 4.110% Senior Notes due 2028 (included in Exhibit 4.36). Broadcom Inc. Current Report on Form 8-K (Commission File No. 001-38449) May 21, 2020 4.39 Registration Rights Agreement, dated as of May 21, 2020, by and among the Company, the 2020 Guarantors and Barclays Capital Inc. and Credit Suisse Securities (USA) LLC, as dealer-managers in connection with the 2020 Exchange Offers. Broadcom Inc. Current Report on Form 8-K (Commission File No. 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 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). Broadcom Inc. Current Report on Form8-K12B (Commission File No.001-38449) April 4, 2018 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 Form8-K (Commission File No.001-38449) May 7, 2019 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 Form8-K (Commission File No.001-38449) November 4, 2019 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 Form8-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. Broadcom Limited Annual Report on Form 10-K (Commission File No.001-37690) December 21, 2017 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. Broadcom Corporation Current Report on Form 8-K/A (Commission File No.000-23993) July 23, 2009 10.8+ 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 10.10+ 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 10.11+ 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 10.12+ 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 10.13+ Broadcom Inc. 2012 Stock Incentive Plan (as amended and restated on April 5, 2021). Broadcom Inc. Quarterly Report on Form 10-Q (Commission File No.001-38449) June 11, 2021 10.14+ Form of Annual Bonus Plan for Executive Employees. Broadcom Limited Annual Report on Form 10-K (Commission File No. 001-37690) December 23, 2016 10.15+ 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 10.16+ Form of Restricted Stock Unit Agreement (Sell to Cover) Under Avago Technologies Limited 2009 Equity Incentive Award Plan (effective February 1, 2016). Broadcom Limited Quarterly Report on Form 10-Q (Commission File No.001-37690) March 10, 2016 10.17+ 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 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). Broadcom Inc. Current Report on Form8-K (Commission File No.001-38449) December 6, 2018 10.19+ Form of Performance Stock Unit Agreement (Relative TSR) under Avago Technologies Limited 2009 Equity Incentive Award Plan. Broadcom Limited Quarterly Report on Form 10-Q (Commission File No.001-37690) March 9, 2017 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 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 Form8-K (Commission File No.001-38449) December 6, 2018 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 Form10-K (Commission File No.001-38449) December 18, 2020 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 Form10-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). Broadcom Limited Quarterly Report on Form 10-Q (Commission File No.001-37690) March 10, 2016 10.25+ 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 10.26+ 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 (Commission File No.001-38449) June 11, 2021 10.27+ Form of Performance Stock Unit Agreement (Relative TSR) under Broadcom Corporation 2012 Stock Incentive Plan. Broadcom Limited Quarterly Report on Form 10-Q (Commission File No.001-37690) March 9, 2017 10.28+ 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 10.29+ 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 (Commission File No.001-38449) June 11, 2021 10.30+ Performance Stock Unit Award Agreement, dated June 15, 2017, between Broadcom Limited and Hock E. Tan. Broadcom Limited Current Report on Form 8-K (Commission File No.001-37690) June 19, 2017 10.31+ Performance Stock Unit Award Agreement, dated April 5, 2021, between Broadcom Inc. and Hock E. Tan. Broadcom Inc. Quarterly Report on Form 10-Q (Commission File No.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. 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. and Hock E. Tan. Broadcom Inc. Current Report on Form 8-K (Commission File No. 001-38449) December 10, 2020 10.35+ Amended and Restated Severance Benefits Agreement, dated December 10, 2020, between Broadcom Inc. and Thomas H. Krause, Jr. Broadcom Inc. Current Report on Form 8-K (Commission File No. 001-38449) December 10, 2020 10.36+ Amended and Restated Severance Benefits Agreement, dated December 10, 2020, between Broadcom Inc. and Charlie B. Kawwas. Broadcom Inc. Current Report on Form 8-K (Commission File No. 001-38449) December 10, 2020 10.37+ Severance Benefits Agreement, dated September 26, 2017, between Broadcom Limited and Mark Brazeal. Broadcom Inc. Quarterly Report on Form10-Q (Commission File No.001-38449) June 16, 2018 10.38+ Severance Benefits Agreement, dated December 10, 2020, between Broadcom Inc. and Kirsten M. Spears. Broadcom Inc. Current Report on Form 8-K (Commission File No. 001-38449) December 10, 2020 10.39+ Letter Agreement dated December 8, 2020, between Broadcom Inc. and Kirsten M. Spears. Broadcom Inc. Current Report on Form 8-K (Commission File No. 001-38449) December 10, 2020 21.1 List of Subsidiaries. 23.1 Consent of PricewaterhouseCoopers LLP, independent registered public accounting firm. 31.1 Certification of Principal Executive Officer of Broadcom Inc. Pursuant to Rule13a-14 of the Securities Exchange Act of 1934, As Adopted Pursuant to Section302 of the Sarbanes-Oxley Act of 2002. 31.2 Certification of Principal Financial Officer of Broadcom Inc. Pursuant to Rule13a-14 of the Securities Exchange Act of 1934, As Adopted Pursuant to Section302 of the Sarbanes-Oxley Act of 2002. 32.1 Certification of Principal Executive Officer of Broadcom Inc. Pursuant to 18U.S.C. Section1350, As Adopted Pursuant to Section906 of the Sarbanes-Oxley Act of 2002. 32.2 Certification of Principal Financial Officer of Broadcom Inc. Pursuant to 18U.S.C. Section1350, As Adopted Pursuant to Section906 of the Sarbanes-Oxley Act of 2002.