Filing Details
- Accession Number:
- 0001054374-14-000134
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-09-03 20:38:07
- Reporting Period:
- 2014-08-29
- Filing Date:
- 2014-09-03
- Accepted Time:
- 2014-09-03 20:38:07
- 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 |
|---|---|---|---|---|---|---|---|
| 1057449 | A Scott Mcgregor | 5300 California Avenue Irvine CA 92617 | President & Ceo | 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 | 2014-08-29 | 39,300 | $32.39 | 1,750,902 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2014-08-29 | 39,300 | $39.42 | 1,711,602 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2014-09-02 | 100,000 | $32.39 | 1,811,602 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2014-09-02 | 100,000 | $39.32 | 1,711,602 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Employee stock option (right to buy) | Disposition | 2014-08-29 | 39,300 | $0.00 | 39,300 | $32.39 |
| Class A Common Stock | Employee stock option (right to buy) | Disposition | 2014-09-02 | 100,000 | $0.00 | 100,000 | $32.39 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 150,000 | 2016-01-02 | No | 4 | M | Direct | |
| 50,000 | 2016-01-02 | No | 4 | M | Direct |
Footnotes
- 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.
- Such transaction was executed in multiple trades at prices ranging from $38.81 to $39.54. 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.
- Includes (i) 767,914 shares that are held as Class A common stock and (ii) 943,688 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.
- All shares subject to such option are fully vested and immediately exercisable.
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