SEC Form 4 · accession 0001234452-17-000098
QUALCOMM INC/DE · QCOM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul E Jacobs
Officer — Executive Chairman · Director
Period of report
May 8, 2017
Accepted (ET)
May 10, 2017 · 5:13 pm EDT
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 9, 2016 | G | 416 | $0.00 | A | 1,005,451 | I | Personal Trust |
| Common StockF2 | May 8, 2017 | M | 207,063 | $0.00 | A | 1,012,514 | I | Personal Trust |
| Common StockF2 | May 8, 2017 | F | 105,505 | $54.62 | D | 907,009 | I | Personal Trust |
| Common Stock | Nov 9, 2016 | G | 416 | $0.00 | A | 950 | I | by Spouse |
| Common StockF3 | holding | — | — | — | 200,000 | I | By GRAT |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF4,F5 | — | May 8, 2017 | M | 207,064 | D | — | May 5, 2019 | Common Stock | 207,064 | 414,128 | D |
Explanation of responses
- F1Securities held by Paul E. Jacobs Trust U/A Dtd 11/07/2014.
- F2Securities held by Paul E. Jacobs Trust U/A Dtd 11/07/2014. Includes 101,558 shares which are subject to transfer restrictions pursuant to the underlying Executive Restricted Stock Unit Agreement under the Qualcomm Incorporated 2006 Long-Term Incentive Plan.
- F3Securities held by Harlan A. Jacobs, Trustee of The Paul E. Jacobs Grantor Retained Annuity Trust (GRAT).
- F4Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting.
- F5The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on May 5, 2017, 2018 and 2019.