SEC Form 4 · accession 0001234452-15-000156
QUALCOMM INC/DE · QCOM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald J Rosenberg
Officer — EVP, GC & Corporate Secretary
Period of report
May 3, 2015
Accepted (ET)
May 5, 2015 · 8:23 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 StockF2 | Mar 26, 2015 | G | 9,412 | $0.00 | A | 9,412 | I | by GRAT S |
| Common StockF3 | Mar 26, 2015 | G | 8,278 | $0.00 | D | 1,135 | I | by Trust |
| Common StockF3 | Mar 26, 2015 | G | 1,134 | $0.00 | D | 1 | I | by Trust |
| Common StockF3 | May 5, 2015 | M | 15,971 | $0.00 | A | 15,972 | I | by Trust |
| Common StockF4,F3 | May 5, 2015 | F | 6,449 | $68.37 | D | 9,523 | I | by Trust |
| Common Stock | holding | — | — | — | 9,412 | I | By GRAT |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF6,F7,F5,F8 | — | May 3, 2015 | A | 79,855 | A | — | May 5, 2019 | Common Stock | 79,855 | 79,855 | D |
| Restricted Stock UnitF5,F8 | — | May 5, 2015 | M | 15,971 | D | — | May 5, 2019 | Common Stock | 15,971 | 63,884 | D |
Explanation of responses
- F1The transaction was conducted under a Rule 10b5-1 trading plan.
- F2Securities held by Mark Lindsay, Trustee of the Stacy K. Rosenberg Qualcomm Annuity Trust.
- F3Securities held by Donald J. Rosenberg and Stacy K. Rosenberg, Trustees of the Rosenberg Family Trust dated October 18, 2011.
- F4Includes 172 shares acquired under the Company's Employee Stock Purchase Plan on January 31, 2015.
- F5Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting.
- F6These Restricted Stock Units were granted subject to performance vesting and service vesting requirements. On May 3, 2015, the Compensation Committee certified that the performance vesting conditions were satisfied.
- F7These Restricted Stock Units include an initial grant of 78,055 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.
- F8The Restricted Stock Units (and allocable dividend equivalents)vest in equal one-fifth amounts on May 5, 2015, 2016, 2017, 2018 and 2019.