SEC Form 4 · accession 0001234452-16-000554
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 7, 2016
Accepted (ET)
Nov 8, 2016 · 1:24 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 7, 2016 | M | 2,000 | $58.24 | A | 35,898 | I | by Trust |
| Common StockF1 | Nov 7, 2016 | S | 2,000 | $67.72 | D | 33,898 | I | by Trust |
| Common Stock | holding | — | — | — | 15,000 | I | By GRAT | |
| Common StockF3 | 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)F4 | $58.24 | Nov 7, 2016 | M | 2,000 | D | — | Jul 9, 2018 | Common Stock | 2,000 | 45,000 | 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.
- F3Securities held by Dawn Grob, Trustee of the Dawn Grob 2015 Irrevocable Trust u/a dtd 3/17/15.
- F4Employee stock options granted under the Company's 2006 Long-Term Incentive Plan. The options vest on each six month date after the date of grant as to 1/8th of the total shares granted until fully vested four years from the date of grant.