Filing Details

Accession Number:
0001054374-14-000096
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-07-03 17:36:08
Reporting Period:
2014-07-01
Filing Date:
2014-07-03
Accepted Time:
2014-07-03 17:36:08
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1054374 Broadcom Corp BRCM Semiconductors & Related Devices (3674) 330480482
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1201633 Henry Samueli 5300 California Avenue
Irvine CA 92617
Chairman Of The Board And Cto Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2014-07-01 42,500 $0.00 42,500 No 4 C Indirect See Footnote
Class A Common Stock Disposition 2014-07-01 42,500 $37.48 0 No 4 S Indirect See Footnote
Class A Common Stock Acquisiton 2014-07-01 15,000 $0.00 15,000 No 4 C Indirect See Footnote
Class A Common Stock Disposition 2014-07-01 15,000 $37.48 0 No 4 S Indirect See Footnote
Class A Common Stock Acquisiton 2014-07-01 42,500 $0.00 82,810 No 4 C Indirect See Footnote
Class A Common Stock Disposition 2014-07-01 42,500 $37.48 40,310 No 4 S Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See Footnote
No 4 S Indirect See Footnote
No 4 C Indirect See Footnote
No 4 S Indirect See Footnote
No 4 C Indirect See Footnote
No 4 S Indirect See Footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common Stock Class B common stock Disposition 2014-07-01 42,500 $0.00 42,500 $0.00
Class A Common Stock Class B common stock Disposition 2014-07-01 15,000 $0.00 15,000 $0.00
Class A Common Stock Class B common stock Disposition 2014-07-01 42,500 $0.00 42,500 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
14,458,992 No 4 C Indirect
1,127,000 No 4 C Indirect
6,898,715 No 4 C Indirect
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Common Stock 521,145 Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Class A Common Stock Class B common stock $0.00 913,473 913,473 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
913,473 913,473 Indirect
Footnotes
  1. Such transaction was effected by HS Portfolio L.P. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
  2. Each share of Class B common stock is convertible at any time into one share of Class A common stock at the option of the holder.
  3. Held by HS Portfolio L.P. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
  4. The shares covered by this Form 4 are being sold pursuant to a Rule 10b5-1 Sales Plan, which is intended to comply with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
  5. Such transaction was executed in multiple trades at prices ranging from $37.09 to $37.645. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
  6. Such transaction was effected by H&S Portfolio II L.P., an entity owned by the Henry Samueli Lifetime Benefit Trust, for which trust the Reporting Person is trustee and beneficiary.
  7. Held by H&S Portfolio II L.P., an entity owned by the Henry Samueli Lifetime Benefit Trust, for which trust the Reporting Person is trustee and beneficiary.
  8. Such transaction was executed in multiple trades at prices ranging from $37.09 to $37.64. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
  9. Such transaction was effected by H&S Investments I L.P., an entity owned by the Shiloh Trust, for which trust the Reporting Person is co-trustee and co-beneficiary.
  10. Held by H&S Investments I L.P., an entity owned by the Shiloh Trust, for which trust the Reporting Person is co-trustee and co-beneficiary.
  11. Includes (i) 41,144 shares that are held as Class A common stock and (ii) 480,001 shares in the form of restricted stock units that will entitle the Reporting Person to receive one share of Class A common stock per restricted stock unit.
  12. Held by HS Management, L.P. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.