SEC Form 4 · accession 0001054374-15-000117
BROADCOM CORP · BRCM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric Brandt
Officer — Executive Vice President & CFO
Period of report
Sep 10, 2015
Accepted (ET)
Sep 14, 2015 · 5:53 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 | Aug 27, 2015 | G | 1,000 | $0.00 | D | 520,069 | D | |
| Class A common stockF2 | Sep 10, 2015 | S | 4,200 | $52.13 | D | 515,869 | D | |
| Class A common stockF3,F4 | Sep 10, 2015 | S | 800 | $52.4856 | D | 515,069 | 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 $51.45 to $52.44. 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.
- F3Such transaction was executed in multiple trades at prices ranging from $52.45 to $52.54. 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.
- F4Includes (i) 139,402 shares that are held as Class A common stock and (ii) 375,667 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.