SEC Form 4 · accession 0001205233-18-000033
QUALCOMM INC/DE · QCOM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald J Rosenberg
Officer — EVP & General Counsel
Period of report
May 5, 2018
Accepted (ET)
May 8, 2018 · 4:22 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000804328
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 5, 2018 | M | 17,839 | $0.00 | A | 17,839 | D | |
| Common Stock | May 5, 2018 | F | 6,169 | $52.49 | D | 11,670 | D | |
| Common Stock | holding | — | — | — | 3,694 | I | By GRAT | |
| Common StockF1 | holding | — | — | — | 3,694 | I | by GRAT S | |
| Common StockF2 | holding | — | — | — | 14,844 | I | by Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF3,F4 | — | May 5, 2018 | M | 17,840 | D | — | May 5, 2019 | Common Stock | 17,840 | 17,840 | D |
| Restricted Stock UnitF5,F6,F3,F7 | — | May 6, 2018 | A | 40,538 | A | — | Nov 20, 2020 | Common Stock | 40,538 | 40,538 | D |
Explanation of responses
- F1Securities held by Mark Lindsay, Trustee of the Stacy K. Rosenberg Qualcomm Annuity Trust.
- F2Securities held by Donald J. Rosenberg and Stacy K. Rosenberg, Trustees of the Rosenberg Family Trust dated October 18, 2011.
- F3Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting.
- F4The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-fifth amounts on May 5, 2015, 2016, 2017, 2018 and 2019.
- F5These Restricted Stock Units were granted subject to performance vesting and service vesting requirements. On May 6, 2018, the Compensation Committee certified that the performance vesting conditions were satisfied.
- F6These Restricted Stock Units include an initial grant of 39,785 Restricted Stock Units, plus dividend equivalents accrued through the transaction date in the form of additional Restricted Stock Units that vest and are paid at the same time and in the same manner as the underlying Restricted Stock Units.
- F7The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2018, 2019 and 2020.