Filing Details
- Accession Number:
- 0001054374-14-000140
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-09-17 18:37:58
- Reporting Period:
- 2014-09-15
- Filing Date:
- 2014-09-17
- Accepted Time:
- 2014-09-17 18:37:58
- 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 |
|---|---|---|---|---|---|---|---|
| 1185813 | A Daniel Marotta | 5300 California Avenue Irvine CA 92617 | Evp & Gm, Broadband & Conn Grp | No | 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 | 2014-09-15 | 17,187 | $29.39 | 396,877 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2014-09-15 | 16,756 | $23.17 | 413,633 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2014-09-15 | 4,593 | $27.74 | 418,226 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2014-09-15 | 38,536 | $40.30 | 379,690 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | 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 | 2014-09-15 | 17,187 | $0.00 | 17,187 | $29.39 |
| Class A Common Stock | Employee stock option (right to buy) | Disposition | 2014-09-15 | 16,756 | $0.00 | 16,756 | $23.17 |
| Class A Common Stock | Employee stock option (right to buy) | Disposition | 2014-09-15 | 4,593 | $0.00 | 4,593 | $27.74 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 34,374 | 2020-02-04 | No | 4 | M | Direct | |
| 33,512 | 2019-04-27 | No | 4 | M | Direct | |
| 9,186 | 2018-04-23 | 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 $40.14 to $40.49. 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) 78,017 shares that are held as Class A common stock and (ii) 301,673 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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