SEC Form 4 · accession 0001054374-15-000091
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
May 27, 2015
Accepted (ET)
May 29, 2015 · 5:38 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 | May 27, 2015 | M | 11,999 | $33.84 | A | 99,821 | D | |
| Class A common stockF2 | May 27, 2015 | S | 11,999 | $49.75 | D | 87,822 | 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 | May 27, 2015 | M | 11,999 | D | — | May 4, 2020 | Class A common stock | 11,999 | 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) 509 shares that are held as Class A common stock and (ii) 87,313 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.