SEC Form 4 · accession 0001054374-15-000049
BROADCOM CORP · BRCM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arthur Chong
Officer — Exec. V.P., G.C. & Secretary
Period of report
Mar 10, 2015
Accepted (ET)
Mar 12, 2015 · 4:41 pm EDT
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 stockF2,F3 | Mar 10, 2015 | S | 10,000 | $43.9006 | D | 363,106 | D |
Table II — derivative securities
No Table II lines on this filing.
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.
- F2Such transaction was executed in multiple trades at prices ranging from $43.71 to $44.27. 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) 32,851 shares that are held as Class A common stock and (ii) 330,255 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.