UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SCHEDULE 13G/A
(Amendment No. 7)*
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o Rule 13d-1 (b)
o Rule 13d-1 (c)
þ Rule 13d-1 (d)
* The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No. |
111320107 |
Page | 2 |
of | 12 |
1 | NAME OF REPORTING PERSON: I.R.S. Identification Nos. of above persons (entities only): HENRY SAMUELI, PH.D. |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: |
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(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY: | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION: | ||||
United States | |||||
5 | SOLE VOTING POWER: | ||||
NUMBER OF | 28,498,435 | ||||
SHARES | 6 | SHARED VOTING POWER: | |||
BENEFICIALLY | |||||
OWNED BY | -0- | ||||
EACH | 7 | SOLE DISPOSITIVE POWER: | |||
REPORTING | |||||
PERSON | 28,498,435 | ||||
WITH | 8 | SHARED DISPOSITIVE POWER: | |||
-0- | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: | ||||
28,498,435 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES: | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): | ||||
5.6%1 | |||||
12 | TYPE OF REPORTING PERSON: | ||||
IN |
CUSIP No. |
111320107 |
Page | 3 |
of | 12 |
1 | NAME OF REPORTING PERSON: I.R.S. Identification Nos. of above persons (entities only): H&S INVESTMENTS I, L.P.2 |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: |
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY: | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION: | ||||
United States | |||||
5 | SOLE VOTING POWER: | ||||
NUMBER OF | -0- | ||||
SHARES | 6 | SHARED VOTING POWER: | |||
BENEFICIALLY | |||||
OWNED BY | -0-3 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER: | |||
REPORTING | |||||
PERSON | -0- | ||||
WITH | 8 | SHARED DISPOSITIVE POWER: | |||
-0-3 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: | ||||
8,420,2573 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES: | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): | ||||
1.7% | |||||
12 | TYPE OF REPORTING PERSON: | ||||
PN |
CUSIP No. |
111320107 |
Page | 4 |
of | 12 |
1 | NAME OF REPORTING PERSON: I.R.S. Identification Nos. of above persons (entities only): HS MANAGEMENT, L.P.4 |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: |
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY: | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION: | ||||
United States | |||||
5 | SOLE VOTING POWER: | ||||
NUMBER OF | -0- | ||||
SHARES | 6 | SHARED VOTING POWER: | |||
BENEFICIALLY | |||||
OWNED BY | -0-5 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER: | |||
REPORTING | |||||
PERSON | -0- | ||||
WITH | 8 | SHARED DISPOSITIVE POWER: | |||
-0-5 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: | ||||
913,4735 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES: | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): | ||||
0.2% | |||||
12 | TYPE OF REPORTING PERSON: | ||||
PN |
CUSIP No. |
111320107 |
Page | 5 |
of | 12 |
1 | NAME OF REPORTING PERSON: I.R.S. Identification Nos. of above persons (entities only): HS PORTFOLIO L.P.6 |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: |
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY: | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION: | ||||
United States | |||||
5 | SOLE VOTING POWER: | ||||
NUMBER OF | -0- | ||||
SHARES | 6 | SHARED VOTING POWER: | |||
BENEFICIALLY | |||||
OWNED BY | -0-7 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER: | |||
REPORTING | |||||
PERSON | -0- | ||||
WITH | 8 | SHARED DISPOSITIVE POWER: | |||
-0-7 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: | ||||
16,646,8677 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES: | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): | ||||
3.3% | |||||
12 | TYPE OF REPORTING PERSON: | ||||
PN |
CUSIP No. |
111320107 |
Page | 6 |
of | 12 |
1 | NAME OF REPORTING PERSON: I.R.S. Identification Nos. of above persons (entities only): H&S PORTFOLIO II, L.P.8 |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: |
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY: | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION: | ||||
United States | |||||
5 | SOLE VOTING POWER: | ||||
NUMBER OF | -0- | ||||
SHARES | 6 | SHARED VOTING POWER: | |||
BENEFICIALLY | |||||
OWNED BY | -0-9 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER: | |||
REPORTING | |||||
PERSON | -0- | ||||
WITH | 8 | SHARED DISPOSITIVE POWER: | |||
-0-9 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: | ||||
1,265,0009 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES: | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): | ||||
0.3% | |||||
12 | TYPE OF REPORTING PERSON: | ||||
PN |
CUSIP No. |
111320107 |
Page | 7 |
of | 12 |
1 | NAME OF REPORTING PERSON: I.R.S. Identification Nos. of above persons (entities only): H&S VENTURES LLC10 |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: |
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY: | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION: | ||||
United States | |||||
5 | SOLE VOTING POWER: | ||||
NUMBER OF | -0- | ||||
SHARES | 6 | SHARED VOTING POWER: | |||
BENEFICIALLY | |||||
OWNED BY | -0-11 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER: | |||
REPORTING | |||||
PERSON | -0- | ||||
WITH | 8 | SHARED DISPOSITIVE POWER: | |||
-0-11 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: | ||||
27,245,59712 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES: | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): | ||||
5.3% | |||||
12 | TYPE OF REPORTING PERSON: | ||||
OO |
Item 1(a) | Name of Issuer: | |||
Broadcom Corporation |
Item 1(b) | Address of Issuers Principal Executive Offices: | |||
5300 California Avenue, Irvine, California 92617 |
Item 2 | ||||
(a) Name of Persons Filing: | ||||
(I) Henry Samueli, Ph.D. | ||||
(II) H&S Investments I, L.P. | ||||
(III) HS Management, L.P. | ||||
(IV) HS Portfolio L.P. | ||||
(V) H&S Portfolio II, L.P. | ||||
(VI) H&S Ventures LLC | ||||
(b) Address of Principal Business Office or, if None, Residence: | ||||
2101 East Coast Highway | ||||
3rd Floor | ||||
Corona del Mar, CA 92625 | ||||
(c) Citizenship: | ||||
United States | ||||
(d) Title of Class of Securities: | ||||
Class A common stock, $0.0001 par value | ||||
(e) CUSIP Number: | ||||
111320107 |
Item 3 | If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: | |||
(a) o Broker or Dealer registered under Section 15 of the Act. | ||||
(b) o Bank as defined in Section 3(a)(6) of the Act. | ||||
(c) o Insurance Company as defined in Section 3(a)(19) of the Act. | ||||
(d) o Investment company registered under Section 8 of the Investment Company Act of 1940. | ||||
(e) o An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); | ||||
(f) o An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); | ||||
(g) o A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)G); | ||||
(h) o A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); | ||||
(i) o A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940; | ||||
(j) o Group, in accordance with Rule 13d-1(b)(1)(ii)(J) |
(A) | (i) 8,420,257 shares of Class B common stock owned by H&S Investments I, L.P., (ii) 913,473 shares of Class B common stock owned by HS Management, L.P., (iii) 16,646,867 shares of Class B common stock held by HS Portfolio L.P., (iv) 1,265,000 shares of Class B common stock owned by H&S Portfolio II, L.P. H&S Ventures LLC is the general partner of each of these entities, and Dr. Samueli has sole voting and dispositive power over these shares; |
(B) | 101,683 shares of Class A common stock held directly; |
(C) | 1,139,686 shares of Class A common stock issuable upon exercise of options held by Dr. Samueli that are currently exercisable or will become exercisable within 60 days after December 31, 2010; and |
(D) | 11,469 shares of Class A common stock that will become issuable from restricted stock units held by Dr. Samueli within 60 days after December 31, 2010. |
Item 5 | Ownership of Five Percent or Less of a Class | |||
Not applicable. |
Item 6 | Ownership of More than Five Percent on Behalf of Another Person | |||
Not applicable. |
Item 7 | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company | |||
Not applicable. |
Item 8 | Identification and Classification of Members of the Group | |||
Not applicable. |
Item 9 | Notice of Dissolution of Group | |||
Not applicable. |
Item 10 | Certification | |||
Not applicable. |
/s/ Henry Samueli | ||||
Henry Samueli, Ph.D. | ||||
Individually and on behalf of H&S Ventures LLC, the general partner of H&S Investments I, L.P., HS Management, L.P., HS Portfolio L.P., and H&S Portfolio II, L.P. |
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