Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| QUALCOMM INC/DEQCOM · Entity 2852 | EVP, Technology | May 05, 2018 | May 07, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
QUALCOMM INC/DE
Report date May 05, 2018 · Filed May 07, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 10,902 |
Reported balance
After 2018-05-05 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-05-05 · Exercise / conversion · Acquired 10,902 · Balance 10,902 |
| Common StockSEC Table I · non-derivative | Direct | 7,132 |
Reported balance
After 2018-05-05 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2018-05-05 · Tax withholding · Disposed 3,770 · Balance 7,132 F1: Includes 234 shares acquired under the Company's Employee Stock Purchase Plan on January 31, 2018. |
| Restricted Stock UnitSEC Table II · derivative / convertible security · Expires 2019-05-05 | Direct | 10,902.0056 |
Reported balance
After 2018-05-05 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-05-05 · Exercise / conversion · Disposed 10,902.0056 · Balance 10,902.0056 F4: Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting. F5: The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-fifth amounts on May 5, 2015, 2016, 2017, 2018 and 2019. |
| Restricted Stock UnitSEC Table II · derivative / convertible security · Expires 2020-11-20 | Direct | 13,512.9633 |
Reported balance
After 2018-05-06 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-05-06 · Grant · Acquired 13,512.9633 · Balance 13,512.9633 F4: Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting. F6: These Restricted Stock Units were granted subject to performance vesting and service vesting requirements. On May 6, 2018, the Compensation Committee certified that the performance vesting conditions were satisfied. F7: These Restricted Stock Units include an initial grant of 13,262 Restricted Stock Units, plus dividend equivalents accrued through the transaction date in the form of additional Restricted Stock Units that vest and are paid at the same time and in the same manner as the underlying Restricted Stock Units. F8: The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2018, 2019 and 2020. |
| Common StockSEC Table I · non-derivative | IndirectBy GRAT | 19,580 |
Reported balance
Holding disclosure · report date 2018-05-05 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 19,580 |
| Common StockSEC Table I · non-derivative | Indirectby GRAT S | 19,580 |
Reported balance
Holding disclosure · report date 2018-05-05 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 19,580 F2: Securities held by Dawn Grob, Trustee of the Dawn Grob 2015 Irrevocable Trust u/a dtd 3/17/15. |
| Common StockSEC Table I · non-derivative | Indirectby Trust | 37,071 |
Reported balance
Holding disclosure · report date 2018-05-05 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 37,071 F3: Securities held by Matthew Grob and Dawn Grob Trustees for the Matthew and Dawn Grob Trust dtd. 8/26/1999. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 234 shares acquired under the Company's Employee Stock Purchase Plan on January 31, 2018.
F2: Securities held by Dawn Grob, Trustee of the Dawn Grob 2015 Irrevocable Trust u/a dtd 3/17/15.
F3: Securities held by Matthew Grob and Dawn Grob Trustees for the Matthew and Dawn Grob Trust dtd. 8/26/1999.
F4: Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting.
F5: The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-fifth amounts on May 5, 2015, 2016, 2017, 2018 and 2019.
F6: These Restricted Stock Units were granted subject to performance vesting and service vesting requirements. On May 6, 2018, the Compensation Committee certified that the performance vesting conditions were satisfied.
F7: These Restricted Stock Units include an initial grant of 13,262 Restricted Stock Units, plus dividend equivalents accrued through the transaction date in the form of additional Restricted Stock Units that vest and are paid at the same time and in the same manner as the underlying Restricted Stock Units.
F8: The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2018, 2019 and 2020.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 20, 2012 Filed May 21, 2012 18:57 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | Exercise / conversionRestricted Stock Unit · Derivative | 5,077.8808 | $0.00 Strike: $1.00 | $0.00 |
DisclosureSEC source: 0001234452-12-000237 · edgardoc.xml · derivative · entry 3 GROB MATTHEW S · CIK 0001525498 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,981.632 Underlying: Common Stock · 5,077.8808 shares Expires 2021-05-20 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Amount includes dividend equivalents earned on vested restricted stock units. F2 · derivative.exercise_date: These shares are represented by restricted stock units. The units vest annually over three years. Upon vesting, the restricted stock units will be paid out in whole shares of common stock. Read SEC document |
| May 20, 2012 Filed May 21, 2012 18:57 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | Tax withholdingCommon Stock | 1,862 | $0.00 | $0.00 |
DisclosureSEC source: 0001234452-12-000237 · edgardoc.xml · nonDerivative · entry 2 GROB MATTHEW S · CIK 0001525498 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,667 Read SEC document |
| May 20, 2012 Filed May 21, 2012 18:57 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | Exercise / conversionCommon Stock | 5,077.8808 | $0.00 | $0.00 |
DisclosureSEC source: 0001234452-12-000237 · edgardoc.xml · nonDerivative · entry 1 GROB MATTHEW S · CIK 0001525498 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,529 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 27, 2012 Filed Feb 28, 2012 22:11 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $41.70 | $0.00 |
DisclosureSEC source: 0001234452-12-000111 · edgardoc.xml · derivative · entry 3 GROB MATTHEW S · CIK 0001525498 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2015-10-13 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The 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. Read SEC document |
| February 27, 2012 Filed Feb 28, 2012 22:11 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | SaleCommon Stock | 30,000 | $63.40 | $1,902,039.00 |
DisclosureSEC source: 0001234452-12-000111 · edgardoc.xml · nonDerivative · entry 2 GROB MATTHEW S · CIK 0001525498 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,452 F1 · price: The sale prices for this transaction ranged from $63.39 to $63.405. The filer hereby agrees to provide, upon request, full information regarding the number of shares sold at each separate price. F2 · balance_after: Includes 230 shares acquired under the Company's Employee Stock Purchase Plan on January 31, 2012. Read SEC document |
| February 27, 2012 Filed Feb 28, 2012 22:11 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | Exercise / conversionCommon Stock | 30,000 | $41.70 | $1,251,000.00 |
DisclosureSEC source: 0001234452-12-000111 · edgardoc.xml · nonDerivative · entry 1 GROB MATTHEW S · CIK 0001525498 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,452 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 31, 2011 Filed Jan 5, 2012 00:12 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | GrantPhantom Stock Unit · Derivative | 1,630 | $53.89 Strike: $1.00 | $87,842.33 |
DisclosureSEC source: 0001234452-12-000024 · edgardoc.xml · derivative · entry 1 GROB MATTHEW S · CIK 0001525498 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Indirect · by Grantor Trust Disclosed balance after: 12,464.795 Underlying: Common Stock · 1,630 shares Expires not disclosed F1 · security: The common stock issued under the terms of the Company's Executive Retirement Matching Contribution Plan, a tax conditioned plan, is exempt under Rule 16b-3. The shares are held in a grantor trust and stock is the only permissable form of distribution under the Plan. F2 · derivative.exercise_date: The rights awarded under the Company's Executive Retirement Matching Contribution Plan will be eligible for distribution upon termination and vest 100% after 2 years of continuous service with the Company. F3 · derivative.expiration_date: The rights awarded under the Company's Executive Retirement Matching Contribution Plan will be eligible for distribution upon termination. F1 · ownership.nature: The common stock issued under the terms of the Company's Executive Retirement Matching Contribution Plan, a tax conditioned plan, is exempt under Rule 16b-3. The shares are held in a grantor trust and stock is the only permissable form of distribution under the Plan. Read SEC document |
| November 20, 2011 Filed Nov 21, 2011 18:37 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | Exercise / conversionRestricted Stock Unit · Derivative | 5,078.6864 | $0.00 Strike: $1.00 | $0.00 |
DisclosureSEC source: 0001234452-11-000418 · edgardoc.xml · derivative · entry 3 GROB MATTHEW S · CIK 0001525498 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,092.5128 Underlying: Common Stock · 5,078.6864 shares Expires 2020-11-20 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · shares: Amount includes dividend equivalents earned on vested restricted stock units. F3 · derivative.exercise_date: These shares are represented by restricted stock units. The units vest annually over three years. Upon vesting, the restricted stock units will be paid out in whole shares of common stock. Read SEC document |
| November 20, 2011 Filed Nov 21, 2011 18:37 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | Tax withholdingCommon Stock | 2,371.6864 | $55.67 | $132,031.78 |
DisclosureSEC source: 0001234452-11-000418 · edgardoc.xml · nonDerivative · entry 2 GROB MATTHEW S · CIK 0001525498 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,222 F1 · balance_after: Includes 152 shares acquired under the Company's Employee Stock Purchase Plan on July 31, 2011. Read SEC document |
| November 20, 2011 Filed Nov 21, 2011 18:37 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | Exercise / conversionCommon Stock | 5,078.6864 | $0.00 | $0.00 |
DisclosureSEC source: 0001234452-11-000418 · edgardoc.xml · nonDerivative · entry 1 GROB MATTHEW S · CIK 0001525498 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,593.6864 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 10, 2011 Filed Jul 12, 2011 18:55 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | GrantRestricted Stock Unit · Derivative | 26,670 | $0.00 Strike: $1.00 | $0.00 |
DisclosureSEC source: 0001234452-11-000279 · edgardoc.xml · derivative · entry 2 GROB MATTHEW S · CIK 0001525498 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,670 Underlying: Common Stock · 26,670 shares Expires 2021-07-09 F2 · derivative.exercise_date: These shares are represented by restricted stock units. The units vest annually over three years. Upon vesting, the restricted stock units will be paid out in whole shares of common stock. Read SEC document |
| July 10, 2011 Filed Jul 12, 2011 18:55 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $58.24 | $0.00 |
DisclosureSEC source: 0001234452-11-000279 · edgardoc.xml · derivative · entry 1 GROB MATTHEW S · CIK 0001525498 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2018-07-09 F1 · derivative.exercise_date: Employee stock options granted under the Company's 2006 Long-Term Incentive Plan. The options vest on each six month date after the date of grant as to 1/8th of the total shares granted until fully vested four years from the date of grant. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.