| Accession Number: | 0001054374-15-000044 |
| Date: | 2015-02-26 |
| Issuer: | BROADCOM CORP (BRCM) |
| Original Submission Date: |
KIM NEIL Y.
5300 CALIFORNIA AVENUE
IRVINE, CA 92617
| Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
|---|---|---|---|---|---|---|---|---|---|
| CLASS A COMMON STOCK | 2015-02-26 | M | 25,000 | a | $23.17 | 323,010 | direct | ||
| CLASS A COMMON STOCK | 2015-02-26 | M | 25,000 | a | $27.74 | 348,010 | direct | ||
| CLASS A COMMON STOCK | 2015-02-26 | M | 4,900 | a | $41.15 | 352,910 | direct | ||
| CLASS A COMMON STOCK | 2015-02-26 | S | 54,900 | d | $45.40 | 298,010 | direct |
| Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 23.17 | 2015-02-26 | deemed execution date | M | 25,000 (d) | 2019-04-27 | class a common stock 25,000 | $23.17 | 50,000 | direct | ||
| EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 27.74 | 2015-02-26 | deemed execution date | M | 25,000 (d) | 2018-04-23 | class a common stock 25,000 | $27.74 | 25,500 | direct | ||
| EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 41.15 | 2015-02-26 | deemed execution date | M | 4,900 (d) | 2016-05-04 | class a common stock 4,900 | $41.15 | 30,000 | direct |
| ID | footnote |
|---|---|
| f1 | such transaction was executed in multiple trades at prices ranging from $45.40 to $45.41. 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. |
| f2 | includes (i) 29,614 shares that are held as class a common stock and (ii) 268,396 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. |
| f3 | all shares subject to such option are fully vested and immediately exercisable. |
