SEC Form 4 · accession 0001234452-16-000571
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 20, 2016
Accepted (ET)
Nov 21, 2016 · 6:48 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, 2016 | M | 2,479 | $0.00 | A | 36,377 | I | by Trust |
| Common StockF1 | Nov 20, 2016 | F | 1,294 | $67.31 | D | 35,083 | I | by Trust |
| Common Stock | holding | — | — | — | 15,000 | I | By GRAT | |
| Common StockF2 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF3,F4 | — | Nov 20, 2016 | M | 2,480 | D | — | Nov 20, 2016 | Common Stock | 2,480 | 0 | D |
Explanation of responses
- F1Securities held by Matthew Grob and Dawn Grob Trustees for the Matthew and Dawn Grob Trust dtd. 8/26/1999.
- F2Securities held by Dawn Grob, Trustee of the Dawn Grob 2015 Irrevocable Trust u/a dtd 3/17/15.
- 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-third amounts on November 20, 2014, 2015 and 2016.