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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Performance Stock Unit | (3) | 11/30/2014(4) | A | 42,412.254 (5) | (6) | 11/09/2016(6) | Common Stock | 42,412.254 | $ 0 | 42,412.254 | D | ||||
Performance Stock Unit | (3) | 11/30/2014 | M | 12,959.1228 | (6) | 11/09/2016(6) | Common Stock | 12,959.1228 | $ 0 | 29,453.1312 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MOLLENKOPF STEVEN M 5775 MOREHOUSE DR. SAN DIEGO, CA 92121-1714 |
X | Chief Executive Officer |
By: Noreen E. Burns, Attorney-in-Fact For: Steven M. Mollenkopf | 12/02/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Securities held by Steven M. Mollenkopf & Susan T. Mollenkopf as Trustees of the Mollenkopf Family Trust UAD June 22, 2001. |
(2) | These shares represent Performance Stock Units that vested on November 9, 2014. On November 30, 2014, the Compensation Committee certified the number of shares payable based on the performance vesting conditions. |
(3) | Each Performance Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting. |
(4) | These Performance Stock Units were granted subject to performance vesting and service vesting requirements. On November 30, 2014, the Compensation Committee certified the number of shares payable based on the performance vesting conditions. |
(5) | These Performance Stock Units include dividend equivalents accrued through the transaction date in the form of additional Performance Stock Units that vest and are paid at the same time and in the same manner as the underlying Performance Stock Units. |
(6) | The Performance Stock Units (and allocable dividend equivalents)vest in equal one-third amounts on November 9, 2014, 2015 and 2016. |