SEC Form 4 · accession 0001054374-15-000051
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
Mar 16, 2015
Accepted (ET)
Mar 18, 2015 · 5:14 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 stock | Mar 16, 2015 | M | 12,000 | $33.84 | A | 105,301 | D | |
| Class A common stockF2 | Mar 16, 2015 | S | 12,000 | $45.00 | D | 93,301 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee stock option (right to buy)F3 | $33.84 | Mar 16, 2015 | M | 12,000 | D | — | May 4, 2020 | Class A common stock | 12,000 | 22,500 | 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.
- F2All 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.
- F3All shares subject to such option are fully vested and immediately exercisable.