SEC Form 4 · accession 0001234452-15-000158
QUALCOMM INC/DE · QCOM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James H Thompson
Officer — EVP, Qualcomm Technologies Inc
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 Stock | May 5, 2015 | M | 9,760 | $0.00 | A | 33,235 | D | |
| Common StockF1 | May 5, 2015 | F | 3,668 | $68.37 | D | 29,567 | D |
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,F2,F5 | — | May 3, 2015 | A | 48,800 | A | — | May 5, 2019 | Common Stock | 48,800 | 48,800 | D |
| Restricted Stock UnitF3,F6,F2,F7 | — | May 3, 2015 | A | 38,578 | A | — | May 5, 2019 | Common Stock | 38,578 | 87,378 | D |
| Restricted Stock UnitF2,F5 | — | May 5, 2015 | M | 9,760 | D | — | May 5, 2019 | Common Stock | 9,760 | 77,618 | D |
Explanation of responses
- F1Includes 172 shares acquired under the Company's Employee Stock Purchase Plan on January 31, 2015.
- F2Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting.
- F3These 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.
- F4These Restricted Stock Units include an initial grant of 47,700 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.
- F5The Restricted Stock Units (and allocable dividend equivalents)vest in equal one-fifth amounts on May 5, 2015, 2016, 2017, 2018 and 2019.
- F6These Restricted Stock Units include an initial grant of 37,708 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 May 5, 2017, 2018 and 2019.