SEC Form 4 · accession 0001234452-16-000493
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
Aug 1, 2016
Accepted (ET)
Aug 2, 2016 · 3:18 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 | Aug 1, 2016 | M | 2,000 | $43.24 | A | 35,898 | I | by Trust |
| Common StockF3,F1 | Aug 1, 2016 | S | 2,000 | $62.37 | D | 33,898 | I | by Trust |
| Common Stock | holding | — | — | — | 15,000 | I | By GRAT | |
| Common StockF4 | holding | — | — | — | 15,000 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F5 | $43.24 | Aug 1, 2016 | M | 2,000 | D | — | Apr 24, 2018 | Common Stock | 2,000 | 40,000 | D |
Explanation of responses
- F1Securities held by Matthew Grob and Dawn Grob Trustees for the Matthew and Dawn Grob Trust dtd. 8/26/1999.
- F2The transaction was conducted under a Rule 10b5-1 trading plan.
- F3Includes 271 shares acquired under the Company's Employee Stock Purchase Plan on July 31, 2016.
- F4Securities held by Dawn Grob, Trustee of the Dawn Grob 2015 Irrevocable Trust u/a dtd 3/17/15.
- F5The options vest 10% on the six month anniversary of the date of grant and the remaining balance vests monthly thereafter, adjusted for any previously exercised options prior to becoming an affiliate. The option is fully vested five years after the date of grant.