SEC Form 4 · accession 0001234452-15-000297
QUALCOMM INC/DE · QCOM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew S Grob
Officer — EVP, Qualcomm Technologies Inc
Period of report
Nov 20, 2015
Accepted (ET)
Nov 24, 2015 · 3:00 pm 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 StockF2 | Aug 10, 2015 | G | 7,500 | $0.00 | A | 7,500 | I | by GRAT S |
| Common StockF3 | Aug 10, 2015 | G | 7,500 | $0.00 | D | 37,835 | I | by Trust |
| Common StockF3 | Nov 20, 2015 | M | 6,568 | $0.00 | A | 44,403 | I | by Trust |
| Common Stock | Nov 20, 2015 | M | 2,388 | $0.00 | A | 46,791 | I | by Trust |
| Common StockF3 | Nov 20, 2015 | F | 3,427 | $49.62 | D | 43,364 | I | by Trust |
| Common StockF4,F3 | Nov 20, 2015 | F | 1,246 | $49.62 | D | 42,118 | I | by Trust |
| Common Stock | holding | — | — | — | 7,500 | 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 UnitF5,F6 | — | Nov 20, 2015 | M | 6,569 | D | — | Nov 20, 2015 | Common Stock | 6,569 | 0 | D |
| Restricted Stock UnitF5,F7 | — | Nov 20, 2015 | M | 2,389 | D | — | Nov 20, 2016 | Common Stock | 2,389 | 2,389 | D |
Explanation of responses
- F1The transaction was conducted under a Rule 10b5-1 trading plan.
- F2Securities held by Dawn Grob, Trustee of the Dawn Grob 2015 Irrevocable Trust u/a dtd 3/17/15.
- F3Securities held by Matthew Grob and Dawn Grob Trustees for the Matthew and Dawn Grob Trust dtd. 8/26/1999.
- F4Includes 190 shares acquired under the Company's Employee Stock Purchase Plan on July 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.
- F6The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2013, 2014 and 2015.
- F7The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2014, 2015 and 2016.