SEC Form 4 · accession 0001234452-17-000010
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
Jan 3, 2017
Accepted (ET)
Jan 4, 2017 · 12:48 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 | Jan 3, 2017 | M | 2,000 | $41.36 | A | 2,000 | D | |
| Common Stock | Jan 3, 2017 | S | 2,000 | $65.86 | 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 | Jan 3, 2017 | M | 2,000 | D | — | Apr 23, 2019 | Common Stock | 2,000 | 20,000 | 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, adjusted for any previously exercised options prior to becoming an affiliate. The option is fully vested five years after the date of grant.