SEC Form 4 · accession 0001234452-16-000447
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 5, 2016
Accepted (ET)
May 9, 2016 · 2:37 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 StockF1 | May 5, 2016 | M | 16,551 | $0.00 | A | 16,552 | I | by Trust |
| Common StockF1 | May 5, 2016 | F | 6,220 | $51.13 | D | 10,332 | I | by Trust |
| Common Stock | holding | — | — | — | 9,604 | I | By GRAT | |
| Common StockF2 | holding | — | — | — | 9,604 | 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 UnitF3,F4 | — | May 5, 2016 | M | 16,551 | D | — | May 5, 2019 | Common Stock | 16,551 | 49,653 | D |
Explanation of responses
- F1Securities held by Donald J. Rosenberg and Stacy K. Rosenberg, Trustees of the Rosenberg Family Trust dated October 18, 2011.
- F2Securities held by Mark Lindsay, Trustee of the Stacy K. Rosenberg Qualcomm Annuity Trust.
- F3Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting.
- F4The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-fifth amounts on May 5, 2015, 2016, 2017, 2018 and 2019.