SEC Form 4 · accession 0001054374-15-000013
BROADCOM CORP · BRCM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John E Major
Director
Period of report
Feb 2, 2015
Accepted (ET)
Feb 4, 2015 · 5:07 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 stock | Feb 2, 2015 | S | 1,000 | $42.16 | D | 35,925 | D | |
| Class A common stock | Feb 2, 2015 | M | 7,250 | $19.7067 | A | 43,175 | D | |
| Class A common stockF2 | Feb 2, 2015 | S | 7,250 | $41.00 | D | 35,925 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock option (right to buy)F3 | $19.7067 | Feb 2, 2015 | M | 7,250 | D | — | Apr 27, 2015 | Class A common stock | 7,250 | 0 | D |
Explanation of responses
- F1The 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.
- F2Includes (i) 30,908 shares that are held as Class A common stock and (ii) 5,017 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.
- F3All shares subject to such option are fully vested and immediately exercisable.