FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 09/14/2007 |
3. Issuer Name and Ticker or Trading Symbol
BROADCOM CORP [ BRCM ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Class A common stock(1) | 1,350 | D | |
Class A common stock(2) | 4,063 | D | |
Class A common stock(3) | 4,219 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee stock option (right to buy) | (4) | 12/06/2013 | Class A common stock | 1,876 | $22.8933 | D | |
Employee stock option (right to buy) | (5) | 02/04/2015 | Class A common stock | 2,657 | $21.4733 | D | |
Employee stock option (right to buy) | (6) | 05/04/2016 | Class A common stock | 13,000 | $41.15 | D | |
Employee stock option (right to buy) | (7) | 05/02/2017 | Class A common stock | 9,000 | $32.93 | D |
Explanation of Responses: |
1. The securities are 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. The restricted stock units will vest, and the underlying shares will be concurrently issued, in a series of six equal quarterly installments from 11/05/2007 through 02/05/2009. |
2. The securities are 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. The restricted stock units will vest, and the underlying shares will be concurrently issued, in a series of ten equal quarterly installments from 11/05/2007 through 02/05/2010. |
3. The securities are 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. The restricted stock units will vest, and the underlying shares will be concurrently issued, in a series of fifteen equal quarterly installments from 11/05/2007 through 05/05/2011. |
4. Such option was granted on 12/07/2003 and vests in equal monthly installments of 625 shares per month through 12/7/2007. |
5. Such option was granted on 02/05/2005 and vests in equal monthly installments of 156 shares per month through 02/05/2009. |
6. Such option was granted on 05/05/2006 and vests in equal monthly installments of 271 shares per month through 05/05/2010. |
7. Such option was granted on 05/03/2007 and vests in equal monthly installments of 187.5 shares per month through 05/03/2011. |
Remarks: |
/s/ Bret W. Johnsen | 09/24/2007 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |