SEC Form 4 · accession 0001234452-15-000303
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
Nov 20, 2015
Accepted (ET)
Nov 24, 2015 · 3:01 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 Stock | Nov 20, 2015 | M | 2,388 | $0.00 | A | 36,590 | D | |
| Common Stock | Nov 20, 2015 | M | 3,449 | $0.00 | A | 40,039 | D | |
| Common Stock | Nov 20, 2015 | M | 8,795 | $0.00 | A | 48,834 | D | |
| Common Stock | Nov 20, 2015 | M | 6,568 | $0.00 | A | 55,402 | D | |
| Common Stock | Nov 20, 2015 | F | 1,800 | $49.62 | D | 53,602 | D | |
| Common Stock | Nov 20, 2015 | F | 4,590 | $49.62 | D | 49,012 | D | |
| Common Stock | Nov 20, 2015 | F | 3,427 | $49.62 | D | 45,585 | D | |
| Common Stock | Nov 20, 2015 | F | 1,246 | $49.62 | D | 44,339 | 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 UnitF1,F2,F3 | — | Nov 20, 2015 | M | 3,449 | D | — | Nov 20, 2015 | Common Stock | 3,449 | 15,364 | D |
| Restricted Stock UnitF1,F2,F3 | — | Nov 20, 2015 | M | 8,795 | D | — | Nov 20, 2015 | Common Stock | 8,795 | 6,569 | D |
| Restricted Stock UnitF1,F2,F3 | — | Nov 20, 2015 | M | 6,569 | D | — | Nov 20, 2015 | Common Stock | 6,569 | 0 | D |
| Restricted Stock UnitF1,F4 | — | Nov 20, 2015 | M | 2,389 | D | — | Nov 20, 2016 | Common Stock | 2,389 | 2,389 | D |
Explanation of responses
- F1Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting.
- F2These shares are represented by restricted stock units and unvested dividend equivalents. The units vest annually over three years. Upon vesting, the restricted stock units will be paid out in whole shares of common stock.
- F3The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2013, 2014 and 2015.
- F4The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2014, 2015 and 2016.