SEC Form 4 · accession 0001205233-18-000090
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
Nov 20, 2018
Accepted (ET)
Nov 21, 2018 · 11:33 am EST
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 | Nov 20, 2018 | M | 13,773 | $0.00 | A | 13,773 | D | |
| Common Stock | Nov 20, 2018 | F | 7,476 | $54.92 | D | 6,297 | D | |
| Common Stock | holding | — | — | — | 3,694 | I | By GRAT | |
| Common StockF1 | holding | — | — | — | 3,694 | I | by GRAT S | |
| Common StockF2 | holding | — | — | — | 15,031 | 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 | — | Nov 20, 2018 | M | 13,773 | D | — | Nov 20, 2020 | Common Stock | 13,773 | 27,546 | 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-third amounts on November 20, 2018, 2019 and 2020.