0001054374-14-000097.txt : 20140703 0001054374-14-000097.hdr.sgml : 20140703 20140703173712 ACCESSION NUMBER: 0001054374-14-000097 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140701 FILED AS OF DATE: 20140703 DATE AS OF CHANGE: 20140703 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 5300 CALIFORNIA AVENUE CITY: IRVINE STATE: CA ZIP: 92617-3038 BUSINESS PHONE: 949 926 5000 MAIL ADDRESS: STREET 1: 5300 CALIFORNIA AVENUE CITY: IRVINE STATE: CA ZIP: 92617-3038 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MCGREGOR SCOTT A CENTRAL INDEX KEY: 0001057449 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23993 FILM NUMBER: 14961641 MAIL ADDRESS: STREET 1: 5300 CALIFORNIA AVENUE CITY: IRVINE STATE: CA ZIP: 92617 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2014-07-01 0001054374 BROADCOM CORP BRCM 0001057449 MCGREGOR SCOTT A 5300 CALIFORNIA AVENUE IRVINE CA 92617 1 1 0 0 President & CEO Class A common stock 2014-07-01 4 M 0 25000 21.3133 A 1786547 D Class A common stock 2014-07-01 4 S 0 25000 37.4931 D 1761547 D Class A common stock 2014-07-02 4 M 0 25000 21.3133 A 1786547 D Class A common stock 2014-07-02 4 S 0 25000 37.5956 D 1761547 D Class A common stock 2014-07-03 4 M 0 25000 21.3133 A 1786547 D Class A common stock 2014-07-03 4 S 0 25000 37.7508 D 1761547 D Employee stock option (right to buy) 21.3133 2014-07-01 4 M 0 25000 0 D 2015-01-02 Class A common stock 25000 537123 D Employee stock option (right to buy) 21.3133 2014-07-02 4 M 0 25000 0 D 2015-01-02 Class A common stock 25000 512123 D Employee stock option (right to buy) 21.3133 2014-07-03 4 M 0 25000 0 D 2015-01-02 Class A common stock 25000 487123 D 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 $37.09 to $37.64. 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 executed in multiple trades at prices ranging from $37.41 to $37.79. 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 executed in multiple trades at prices ranging from $37.60 to $37.88. 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) 739,513 shares that are held as Class A common stock and (ii) 1,022,034 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. /s/ Scott A. McGregor 2014-07-03