Filing Details
- Accession Number:
- 0001054374-15-000045
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-03-03 18:07:26
- Reporting Period:
- 2015-02-27
- Filing Date:
- 2015-03-03
- Accepted Time:
- 2015-03-03 18:07:26
- 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 |
|---|---|---|---|---|---|---|---|
| 1463220 | Y. Neil Kim | 5300 California Avenue Irvine CA 92617 | Evp, Ops. & Central Eng. | 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 | 2015-02-27 | 30,000 | $23.17 | 328,010 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2015-02-27 | 5,000 | $27.74 | 333,010 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2015-02-27 | 10,000 | $41.15 | 343,010 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2015-02-27 | 10,000 | $32.93 | 353,010 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2015-02-27 | 55,000 | $45.63 | 298,010 | 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 | 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 | 2015-02-27 | 30,000 | $0.00 | 30,000 | $23.17 |
| Class A Common Stock | Employee stock option (right to buy) | Disposition | 2015-02-27 | 5,000 | $0.00 | 5,000 | $27.74 |
| Class A Common Stock | Employee stock option (right to buy) | Disposition | 2015-02-27 | 10,000 | $0.00 | 10,000 | $41.15 |
| Class A Common Stock | Employee stock option (right to buy) | Disposition | 2015-02-27 | 10,000 | $0.00 | 10,000 | $32.93 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 20,000 | 2019-04-27 | No | 4 | M | Direct | |
| 20,500 | 2018-04-23 | No | 4 | M | Direct | |
| 20,000 | 2016-05-04 | No | 4 | M | Direct | |
| 10,000 | 2017-05-02 | No | 4 | M | Direct |
Footnotes
- Such transaction was executed in multiple trades at prices ranging from $45.40 to $45.715. 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) 29,614 shares that are held as Class A common stock and (ii) 268,396 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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