Filing Details
- Accession Number:
- 0001054374-15-000055
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-04-03 17:37:27
- Reporting Period:
- 2015-04-01
- Filing Date:
- 2015-04-03
- Accepted Time:
- 2015-04-03 17:37:27
- 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 | 2015-04-01 | 49,500 | $0.00 | 49,500 | No | 4 | C | Indirect | See Footnote |
Class A Common Stock | Disposition | 2015-04-01 | 49,500 | $42.66 | 0 | No | 4 | S | Indirect | See Footnote |
Class A Common Stock | Acquisiton | 2015-04-01 | 40,500 | $0.00 | 97,412 | No | 4 | C | Indirect | See Footnote |
Class A Common Stock | Disposition | 2015-04-01 | 40,500 | $42.66 | 56,912 | 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 |
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 | 2015-04-01 | 49,500 | $0.00 | 49,500 | $0.00 |
Class A Common Stock | Class B common stock | Disposition | 2015-04-01 | 40,500 | $0.00 | 40,500 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
14,123,492 | No | 4 | C | Indirect | ||
6,621,525 | No | 4 | C | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Class A Common Stock | 602,183 | 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 | 1,050,000 | 1,050,000 | Indirect | ||
Class A Common Stock | Class B common stock | $0.00 | 913,473 | 913,473 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
1,050,000 | 1,050,000 | Indirect | |
913,473 | 913,473 | Indirect |
Footnotes
- 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.
- 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.
- Held by HS Portfolio L.P. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
- 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 $42.42 to $43.22. 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.
- 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.
- 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.
- Such transaction was executed in multiple trades at prices ranging from $42.41 to $43.20. 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) 34,679 shares that are held as Class A common stock and (ii) 567,504 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.
- 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.
- Held by HS Management, L.P. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.