SEC Form 4 · accession 0001234452-17-000196
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, 2017
Accepted (ET)
Nov 21, 2017 · 4:03 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, 2017 | M | 7,107 | $0.00 | A | 8,527 | D | |
| Common Stock | Nov 20, 2017 | M | 5,552 | $0.00 | A | 14,079 | D | |
| Common Stock | Nov 20, 2017 | M | 6,741 | $0.00 | A | 20,820 | D | |
| Common Stock | Nov 20, 2017 | M | 2,092 | $0.00 | A | 22,912 | D | |
| Common Stock | Nov 20, 2017 | F | 4,043 | $66.47 | D | 18,869 | D | |
| Common Stock | Nov 20, 2017 | F | 786 | $66.47 | D | 18,083 | D | |
| Common Stock | Nov 20, 2017 | F | 2,534 | $66.47 | D | 15,549 | D | |
| Common Stock | Nov 20, 2017 | F | 2,640 | $66.47 | D | 12,909 | 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, 2017 | M | 2,092 | D | — | Nov 20, 2017 | Common Stock | 2,092 | 0 | D |
| Restricted Stock UnitF1,F3 | — | Nov 20, 2017 | M | 5,553 | D | — | Nov 20, 2018 | Common Stock | 5,553 | 5,553 | D |
| Restricted Stock UnitF1,F4 | — | Nov 20, 2017 | M | 7,107 | D | — | Nov 20, 2019 | Common Stock | 7,107 | 34,436 | D |
| Restricted Stock UnitF1,F5 | — | Nov 20, 2017 | M | 6,741 | D | — | Nov 20, 2019 | Common Stock | 6,741 | 27,695 | 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, 2015, 2016 and 2017.
- F3The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2016, 2017 and 2018.
- F4The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2017, 2018 and 2019.
- F5The Restricted Stock Units (and allocable dividend equivalents) vest in four equal amounts on November 20, 2016, 2017, 2018 and 2019.