SEC Form 4 · accession 0001234452-15-000301
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
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 StockF1 | Nov 20, 2015 | M | 10,747 | $0.00 | A | 10,938 | I | by Trust |
| Common StockF2,F1 | Nov 20, 2015 | F | 5,608 | $49.62 | D | 5,330 | I | by Trust |
| Common Stock | holding | — | — | — | 9,412 | I | By GRAT | |
| Common StockF3 | holding | — | — | — | 9,412 | I | by GRAT S |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF4,F5 | — | Nov 20, 2015 | M | 10,748 | D | — | Nov 20, 2015 | Common Stock | 10,748 | 0 | D |
Explanation of responses
- F1Securities held by Donald J. Rosenberg and Stacy K. Rosenberg, Trustees of the Rosenberg Family Trust dated October 18, 2011.
- F2Includes 190 shares acquired under the Company's Employee Stock Purchase Plan on July 31, 2015.
- F3Securities held by Mark Lindsay, Trustee of the Stacy K. Rosenberg Qualcomm Annuity Trust.
- F4Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting.
- F5The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2013, 2014 and 2015.