SEC Form 4 · accession 0001054374-15-000047

BROADCOM CORP · BRCM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President & CEO · Director

Period of report

Mar 4, 2015

Accepted (ET)

Mar 6, 2015 · 4:31 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
Class A common stock	Feb 27, 2015	G	7,800	$0.00	D	1,998,146	D
Class A common stock	Mar 4, 2015	M	60,000	$32.93	A	2,058,146	D
Class A common stock	Mar 4, 2015	M	75,000	$27.74	A	2,133,146	D
Class A common stock^F2,F3	Mar 4, 2015	S	135,000	$45.0231	D	1,998,146	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee stock option (right to buy)^F4	$32.93	Mar 4, 2015	M	60,000	D	—	May 2, 2017	Class A common stock	60,000	170,000	D
Employee stock option (right to buy)^F4	$27.74	Mar 4, 2015	M	75,000	D	—	Apr 23, 2018	Class A common stock	75,000	175,000	D

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.
F2Such transaction was executed in multiple trades at prices ranging from $44.78 to $45.26. 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.
F3Includes (i) 838,337 shares that are held as Class A common stock and (ii) 1,159,809 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.
F4All shares subject to such option are fully vested and immediately exercisable.