SEC Form 4 · accession 0001234452-16-000584
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
Dec 12, 2016
Accepted (ET)
Dec 13, 2016 · 11:56 am 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 | Dec 12, 2016 | M | 2,000 | $41.36 | A | 2,000 | D | |
| Common Stock | Dec 12, 2016 | S | 2,000 | $68.16 | D | 0 | D | |
| Common Stock | holding | — | — | — | 15,000 | I | By GRAT | |
| Common StockF2 | holding | — | — | — | 15,000 | I | by GRAT S | |
| Common StockF3 | holding | — | — | — | 35,083 | I | by Trust |
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 | $41.36 | Dec 12, 2016 | M | 2,000 | D | — | Apr 23, 2019 | Common Stock | 2,000 | 22,000 | D |
Explanation of responses
- F1The transaction was conducted under a Rule 10b5-1 trading plan.
- F2Securities held by Dawn Grob, Trustee of the Dawn Grob 2015 Irrevocable Trust u/a dtd 3/17/15.
- F3Securities held by Matthew Grob and Dawn Grob Trustees for the Matthew and Dawn Grob Trust dtd. 8/26/1999.
- F4The options vest 10% on the six month anniversary of the date of grant and the remaining balance vests monthly thereafter. The option is fully vested five years after the date of grant.