SEC Form 4 · accession 0001234452-16-000574
QUALCOMM INC/DE · QCOM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alexander H Rogers
Officer — EVP & President, QTL
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 Stock | Nov 20, 2016 | M | 5,344 | $0.00 | A | 5,999 | D | |
| Common Stock | Nov 20, 2016 | M | 6,488 | $0.00 | A | 12,487 | D | |
| Common Stock | Nov 20, 2016 | M | 2,014 | $0.00 | A | 14,501 | D | |
| Common Stock | Nov 20, 2016 | M | 2,150 | $0.00 | A | 16,651 | D | |
| Common Stock | Nov 20, 2016 | F | 7,003 | $67.31 | D | 9,648 | 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 | — | Nov 20, 2016 | M | 2,151 | D | — | Nov 20, 2016 | Common Stock | 2,151 | 0 | D |
| Restricted Stock UnitF1,F3 | — | Nov 20, 2016 | M | 2,014 | D | — | Nov 20, 2017 | Common Stock | 2,014 | 2,014 | D |
| Restricted Stock UnitF1,F4 | — | Nov 20, 2016 | M | 5,345 | D | — | Nov 20, 2018 | Common Stock | 5,345 | 10,689 | D |
| Restricted Stock UnitF1,F5 | — | Nov 20, 2016 | M | 6,489 | D | — | Nov 20, 2019 | Common Stock | 6,489 | 19,467 | 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.
- F2The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2014, 2015 and 2016.
- F3The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2015, 2016 and 2017.
- F4The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2016, 2017 and 2018.
- F5The Restricted Stock Units (and allocable dividend equivalents) vest in four equal amounts on November 20, 2016, 2017, 2018 and 2019.