0001054374-14-000172.txt : 20141203 0001054374-14-000172.hdr.sgml : 20141203 20141203170555 ACCESSION NUMBER: 0001054374-14-000172 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141201 FILED AS OF DATE: 20141203 DATE AS OF CHANGE: 20141203 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: SAMUELI HENRY CENTRAL INDEX KEY: 0001201633 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23993 FILM NUMBER: 141264060 MAIL ADDRESS: STREET 1: 5300 CALIFORNIA AVENUE CITY: IRVINE STATE: CA ZIP: 92617-3038 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2014-12-01 0001054374 BROADCOM CORP BRCM 0001201633 SAMUELI HENRY 5300 CALIFORNIA AVENUE IRVINE CA 92617 1 1 0 0 Chairman of the Board and CTO Class A common stock 2014-12-01 4 C 0 53750 A 53750 I See Footnote Class A common stock 2014-12-01 4 S 0 53750 42.8748 D 0 I See Footnote Class A common stock 2014-12-01 4 C 0 17500 A 17500 I See Footnote Class A common stock 2014-12-01 4 S 0 17500 42.9063 D 0 I See Footnote Class A common stock 2014-12-01 4 C 0 53750 A 110662 I See Footnote Class A common stock 2014-12-01 4 S 0 53750 42.8635 D 56912 I See Footnote Class A common stock 429829 D Class B common stock 2014-12-01 4 C 0 53750 0 D Class A common stock 53750 14222492 I See Footnote Class B common stock 2014-12-01 4 C 0 17500 0 D Class A common stock 17500 1050000 I See Footnote Class B common stock 2014-12-01 4 C 0 53750 0 D Class A common stock 53750 6702525 I See Footnote Class B common stock Class A common stock 913473 913473 I See Footnote 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 $42.56 to $43.06. 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 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 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. Such transaction was executed in multiple trades at prices ranging from $42.65 to $43.06. 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 $42.54 to $43.06. 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) 15,765 shares that are held as Class A common stock and (ii) 414,064 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 HS Management, L.P. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. /s/ Henry Samueli, Ph.D. 2014-12-01