SEC Form 4 · accession 0001054374-15-000003
BROADCOM CORP · BRCM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cindy Fiorillo
Officer — SVP, Finance & Corp Controller
Period of report
Jan 19, 2015
Accepted (ET)
Jan 21, 2015 · 5:46 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001054374
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A common stockF1,F2,F3 | Jan 19, 2015 | A | 16,163 | $0.00 | A | 85,929 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The securities awarded on 01/19/2015 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 upon the Reporting Person's continuation in service through 02/05/2018. The RSUs will vest on an accelerated basis upon the Reporting Person's termination of employment with the Issuer under certain prescribed circumstances.
- F2The securities were awarded in an exempt transaction pursuant to SEC Rule 16b-3(d).
- F3All of such shares 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.