-----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, RWAAxe7e0Wc2NO/H4GAe7cPvXrRJFfy32KvX2vUtNJsma0tqAQfLaWnX+P+7LN75 E420ZrDedlZp3Nrl61G0DA== 0001071955-99-000012.txt : 19990211 0001071955-99-000012.hdr.sgml : 19990211 ACCESSION NUMBER: 0001071955-99-000012 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990210 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: 99526564 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: PEQUOT CAPITAL MANAGEMENT INC/CT/ CENTRAL INDEX KEY: 0001071955 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 500 NYALA FARMS ROAD CITY: WESTPORT STATE: CT ZIP: 06880 BUSINESS PHONE: 2033192246 SC 13G 1 BROADCOM CORPORATION SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Amendment No.: Name of Issuer: BROADCOM CORPORATION Title of Class of Securities: COMMON STOCK $.0001 PAR VALUE CUSIP Number: 111320107 Check the following line if a fee is being paid with this statement. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). *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 ("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). 1. Name of Reporting Person and S.S. or I.R.S. Identification No of Above Person: Pequot Capital Management, Inc. Tax ID: 06-1524885 2. Check the Appropriate Box if a Member of a Group a. b. 3. SEC Use Only 4. Citizenship or Place of Organization: Connecticut Number of Shares Beneficially Owned by Each Reporting Person With: 5. Sole Voting Power: 1,511,400 6. Shared Voting Power: 0 7. Sole Dispositive Power: 1,511,400 8. Shared Dispositive Power: 0 9. Aggregate Amount Beneficially Owned by Each Reporting Person: 1,511,400 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares: 11. Percent of Class Represented by Amount in Row (9): 11.2% 12. Type of Reporting Person: IA, CO Item 1(a) Name of Issuer: BROADCOM CORPORATION 1(b) Address of Issuer's Principal Executive Offices: 16251 Laguna Canyon Road, Irvine, California 92618 Item 2(a) - (c). Name, Principal Business Address, and Citizenship of Persons Filing: Pequot Capital Management, Inc., 500 Nyala Farm Road, Westport, CT 06880, which is a Connecticut corporation. (d) Title of Class of Securities: COMMON STOCK $.0001 PAR VALUE (e) CUSIP Number: 111320107 Item 3. This statement is filed pursuant to Rule 13d-1(b)(1)(ii)(E). Pequot Capital Management, Inc. is an investment adviser registered under Section 203 of the Investment Advisers Act of 1940. Item 4. Ownership. Ownership as of January 31, 1999 is incorporated by reference to items (5) - (9) and (11) of the cover page of the reporting person. As of January 1, 1999, Dawson-Samberg Capital Management, Inc. restructured and the reporting person identified above, Pequot Capital Management, Inc., was spun off. As a result of this spin off, certain investment advisory clients, including those who own the securities reported hereon, are now advised by the reporting person. 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. The reporting person is an investment adviser registered under Section 203 of the Investment Advisers Act of 1940 and, as such, has beneficial ownership of the shares which are the subject of this filing through the investment discretion the reporting person exercises over its client's accounts. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported by the Parent Holding Company. Not applicable. Item 8. Identification and Classification of Members of the Group. Not applicable. Item 9. Notice of Dissolution of the Group. Not applicable. Item 10. By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. 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 9, 1999 By: /s/ David J. Malat Title: Chief Financial Officer -----END PRIVACY-ENHANCED MESSAGE-----