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