-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UvT7O2B8H2AkTYJkhJ4YwRA08oyYbSlmdvftJvBWA2WPFRb/inqXDkAv0p2vFifN nuAxL8qqvg/SMGS3+lD5SA== 0000895345-99-000045.txt : 19990208 0000895345-99-000045.hdr.sgml : 19990208 ACCESSION NUMBER: 0000895345-99-000045 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990205 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BROADCOM CORP CENTRAL INDEX KEY: 0001054374 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 330480482 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-54415 FILM NUMBER: 99521766 BUSINESS ADDRESS: STREET 1: 16251 ALTON PARKWAY CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 7144508700 MAIL ADDRESS: STREET 1: 16251 ALTON PARKWAY CITY: IRVINE STATE: CA ZIP: 92618 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GENERAL INSTRUMENT CORP CENTRAL INDEX KEY: 0001035881 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 364134221 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 101 TOURNAMENT DRIVE CITY: HORSHAM STATE: PA ZIP: 19044 BUSINESS PHONE: 2153231000 MAIL ADDRESS: STREET 1: 101 TOURNAMENT DRIVE CITY: HORSHAM STATE: PA ZIP: 19044 FORMER COMPANY: FORMER CONFORMED NAME: NEXTLEVEL SYSTEMS INC DATE OF NAME CHANGE: 19970314 SC 13G 1 -------------------------------- OMB APPROVAL -------------------------------- OMB NUMBER 3235-0145 Expires: August 31, 1999 Estimated average burden hours per response . . . . 14.90 -------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. __)* Broadcom Corporation - ------------------------------------------------------------------------------ (Name of Issuer) Class A Common Stock - ------------------------------------------------------------------------------ (Title of Class of Securities) 11132010 -------------------------- (CUSIP Number) April 16, 1998 -------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |_| Rule 13d-1(b) |X| Rule 13d-1(c) |_| Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 (the "Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following page(s)) Page 1 of 6 pages - ----------------------------- -------------------------- CUSIP NO. 11132010 13G PAGE 2 OF 6 PAGES - ----------------------------- -------------------------- - ---------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON: General Instrument Corporation S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) 36-4134221 - ---------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a)|_| (b)|X| - ---------------------------------------------------------------------------- 3 SEC USE ONLY - ---------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ---------------------------------------------------------------------------- 5 SOLE VOTING POWER 2,250,000 shares of Class A Common Stock (see response to Item 2(d)) NUMBER OF SHARES --------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 0 EACH REPORTING --------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH 2,250,000 shares of Class A Common Stock (see response to Item 2(d)) --------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - ---------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,250,000 shares of Class A Common Stock (see response to Item 2(d)) - ---------------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |_| - ---------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.0% of the Class A Common Stock (see responses to Item 2(d) and Item 4(b)) - ---------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) CO - ---------------------------------------------------------------------------- Page 2 of 6 pages ITEM 1. (a) Name of Issuer: Broadcom Corporation (b) Address of Issuer's Principal Executive Offices: 16215 Alton Parkway Irvine, California 92618 ITEM 2. (a) Name of person filing: General Instrument Corporation (b) Address of principal business office, or, if none, residence: 101 Tournament Drive Horsham, Pennsylvania 19044 (c) Citizenship: Delaware (d) Title of class of securities: Class A Common Stock1 (e) CUSIP number: 11132010 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B), OR 13-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS A: None of the options apply. This Schedule 13G is being filed pursuant to Rule 13d-1(c). ITEM 4. OWNERSHIP Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 2(d). (a) Amount beneficially owned: 2,250,000 (b) Percent of class: 5.0%2 - -------------------- 1 The securities that give rise to General Instrument Corporation's reporting obligation are shares of Class B Common Stock, which are convertible into Class A Common Stock on a share for share basis. Pursuant to Rule 13(d)-3(d)(1)(i), such shares of Class B Common Stock shall be deemed to be outstanding shares of Class A Common Stock for the purpose of computing the percentage of outstanding securities of Class A Common Stock deemed beneficially owned by the person filing this report. 2 The actual percentage of Class A Common Stock owned by General Instrument Corporation is 4.997%; however, the Schedule 13G Instructions mandate that this percentage be rounded up to 5%. (c) Number of shares as to which the person has: (i) sole power to vote or to direct the vote 2,250,000 (ii) shared power to vote or to direct the vote 0 (iii) sole power to dispose or to direct the disposition of 2,250,000 (iv) shared power to dispose or to direct the disposition of 0 ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: Not Applicable ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: Not Applicable ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: Not Applicable ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: Not Applicable ITEM 9. NOTICES OF DISSOLUTION OF GROUP: Not Applicable ITEM 10. CERTIFICATION: By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 4, 1999 GENERAL INSTRUMENT CORPORATION By: /s/ Robert A. Scott ----------------------------------- Name: Robert A. Scott Title: Senior Vice President, General Counsel and Secretary -----END PRIVACY-ENHANCED MESSAGE-----