SEC Form 4 · accession 0001234452-17-000111
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
May 20, 2017
Accepted (ET)
May 23, 2017 · 4:44 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 Stock | May 20, 2017 | M | 1,758 | $0.00 | A | 2,615 | D | |
| Common Stock | May 20, 2017 | M | 2,508 | $0.00 | A | 5,123 | D | |
| Common Stock | May 20, 2017 | F | 661 | $57.67 | D | 4,462 | D | |
| Common StockF1 | May 20, 2017 | F | 943 | $57.67 | D | 3,519 | 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 UnitF2,F3 | — | May 20, 2017 | M | 1,758 | D | — | May 20, 2017 | Common Stock | 1,758 | 0 | D |
| Restricted Stock UnitF2,F4 | — | May 20, 2017 | M | 2,509 | D | — | May 20, 2018 | Common Stock | 2,509 | 2,509 | D |
Explanation of responses
- F1Includes 202 shares acquired under the Company's Employee Stock Purchase Plan on January 31, 2017.
- F2Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting.
- F3The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on May 20, 2015, 2016 and 2017.
- F4The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on May 20, 2016, 2017 and 2018.