Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| American Assets Trust, Inc.AAT · Entity 647 | Director | June 09, 2020 | June 10, 2020 |
| QUALCOMM INC/DEQCOM · Entity 2852 | Director | March 26, 2015 | March 30, 2015 |
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.
American Assets Trust, Inc.
Report date June 09, 2020 · Filed June 10, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01SEC Table I · non-derivative | Direct | 2,605 |
Reported balance
After 2020-06-09 transaction · row 1
1 source rowRow 1 · 2020-06-09 · Grant · Acquired 1,502 · Balance 2,605 F1: Shares of restricted common stock issued to the Reporting Person as a non-employee director pursuant to the American Assets Trust, Inc. and American Assets Trust, L.P. Amended and Restated 2011 Equity Incentive Award Plan. |
| Common Stock, par value $0.01SEC Table I · non-derivative | IndirectBy Trust | 150,654 |
Reported balance
Holding disclosure · report date 2020-06-09 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 150,654 F2: The shares are held by Nelles Intervivos Trust dtd. 3/29/1976, Duane A. Nelles and Gail G. Nelles, Trustees. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares of restricted common stock issued to the Reporting Person as a non-employee director pursuant to the American Assets Trust, Inc. and American Assets Trust, L.P. Amended and Restated 2011 Equity Incentive Award Plan.
F2: The shares are held by Nelles Intervivos Trust dtd. 3/29/1976, Duane A. Nelles and Gail G. Nelles, Trustees. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
QUALCOMM INC/DE
Report date March 26, 2015 · Filed March 30, 2015
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Indirectby Trust | 122,445 |
Reported balance
After 2015-03-26 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2015-03-26 · Exercise / conversion · Acquired 3,446 · Balance 122,445 F1: Securities held by Duane A. Nelles and Gail G. Nelles, Trustees for the Nelles Intervivos Trust dtd. 3/29/1976. |
| Deferred Stock UnitSEC Table II · derivative / convertible security | Direct | 8,535.5412 |
Reported balance
After 2015-03-26 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2015-03-26 · Exercise / conversion · Disposed 3,446 · Balance 8,535.5412 F2: Each deferred stock unit represents a right to receive one share of the Company's common stock. F3: Deferred Stock Units are 100% vested on the earlier of (1) the one-year anniversary of the grant date, (2) the date of the next annual meeting of stockholders of the Company that occurs after the grant date, (3) death, (4) disability, or (5) a change in control. The units will be settled in shares of the Company's common stock or cash in accordance with the grant agreement on the earlier of (1) three years from the date of grant, (2) separation from service, (3) death, (4) disability, or (5) a change in control. |
Filing footnotes · ownership attribution and instrument terms
F1: Securities held by Duane A. Nelles and Gail G. Nelles, Trustees for the Nelles Intervivos Trust dtd. 3/29/1976.
F2: Each deferred stock unit represents a right to receive one share of the Company's common stock.
F3: Deferred Stock Units are 100% vested on the earlier of (1) the one-year anniversary of the grant date, (2) the date of the next annual meeting of stockholders of the Company that occurs after the grant date, (3) death, (4) disability, or (5) a change in control. The units will be settled in shares of the Company's common stock or cash in accordance with the grant agreement on the earlier of (1) three years from the date of grant, (2) separation from service, (3) death, (4) disability, or (5) a change in control.
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 |
|---|---|---|---|---|---|---|
| November 09, 2010 Filed Nov 12, 2010 20:17 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | SaleCommon Stock | 20,000 | $47.98 | $959,692.00 |
DisclosureSEC source: 0001234452-10-000258 · edgardoc.xml · nonDerivative · entry 2 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 111,340 F2 · price: The sale prices for this transaction ranged from $47.93 to $48.1850. The filer hereby agrees to provide, upon request, full information regarding the number of shares sold at each separate price. F1 · ownership.nature: Securities held by Duane A. Nelles and Gaile G. NellesTrustees for the Nelles Intervivos Trust dtd. 3/29/1976. Read SEC document |
| November 09, 2010 Filed Nov 12, 2010 20:17 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | Exercise / conversionCommon Stock | 20,000 | $20.64 | $412,800.00 |
DisclosureSEC source: 0001234452-10-000258 · edgardoc.xml · nonDerivative · entry 1 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 131,340 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 · ownership.nature: Securities held by Duane A. Nelles and Gaile G. NellesTrustees for the Nelles Intervivos Trust dtd. 3/29/1976. Read SEC document |
| November 05, 2010 Filed Nov 10, 2010 00:34 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $31.53 | $0.00 |
DisclosureSEC source: 0001234452-10-000227 · edgardoc.xml · derivative · entry 4 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2011-02-26 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 as to 10% of the total shares granted on August 27, 2001 and as to 1/60th of the total shares granted on each monthly anniversary beginning on September 27, 2001. Read SEC document |
| November 05, 2010 Filed Nov 10, 2010 00:34 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | SaleCommon Stock | 20,000 | $48.13 | $962,602.00 |
DisclosureSEC source: 0001234452-10-000227 · edgardoc.xml · nonDerivative · entry 2 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: The sale prices for this transaction ranged from $48.05 to $48.25. The filer hereby agrees to provide, upon request, full information regarding the number of shares sold at each separate price. Read SEC document |
| November 05, 2010 Filed Nov 10, 2010 00:34 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | Exercise / conversionCommon Stock | 20,000 | $31.53 | $630,600.00 |
DisclosureSEC source: 0001234452-10-000227 · edgardoc.xml · nonDerivative · entry 1 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 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 |
| March 02, 2010 Filed Mar 5, 2010 01:31 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | GrantDeferred Stock Unit · Derivative | 5,273 | $0.00 | $0.00 |
DisclosureSEC source: 0001234452-10-000073 · edgardoc.xml · derivative · entry 1 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,273 Underlying: Common Stock · 5,273 shares Expires not disclosed F1 · derivative.exercise_price: Each deferred stock unit represents a right to receive one share of the Company's common stock. F2 · derivative.exercise_date: Deferred Stock Units are 100% vested on the earlier of (1) the one-year anniversary of the grant date, (2) the date of the next annual meeting of stockholders of the Company that occurs after the grant date, (3) death, (4) disability, or (5) a change in control. The units will be settled in shares of the Company's common stock or cash in accordance with the grant agreement on the earlier of (1) three years from the date of grant, (2) separation from service, (3) death, (4) disability, or (5) a change in control. F2 · derivative.expiration_date: Deferred Stock Units are 100% vested on the earlier of (1) the one-year anniversary of the grant date, (2) the date of the next annual meeting of stockholders of the Company that occurs after the grant date, (3) death, (4) disability, or (5) a change in control. The units will be settled in shares of the Company's common stock or cash in accordance with the grant agreement on the earlier of (1) three years from the date of grant, (2) separation from service, (3) death, (4) disability, or (5) a change in control. Read SEC document |
| March 03, 2009 Filed Mar 5, 2009 23:48 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 14,000 | $0.00 Strike: $33.45 | $0.00 |
DisclosureSEC source: 0001234452-09-000092 · edgardoc.xml · derivative · entry 1 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,000 Underlying: Common Stock · 14,000 shares Expires 2019-03-02 F1 · derivative.exercise_date: The options vest 100% one year from the date of grant. Read SEC document |
| March 11, 2008 Filed Mar 13, 2008 18:11 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 14,000 | $0.00 Strike: $39.42 | $0.00 |
DisclosureSEC source: 0001234452-08-000100 · edgardoc.xml · derivative · entry 1 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,000 Underlying: Common Stock · 14,000 shares Expires 2018-03-10 Read SEC document |
| June 12, 2007 Filed Jun 14, 2007 00:35 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 160,000 | $0.00 Strike: $4.30 | $0.00 |
DisclosureSEC source: 0001234452-07-000136 · edgardoc.xml · derivative · entry 4 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 160,000 shares Expires 2009-02-22 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 · derivative.exercise_date: The option vests in five equal installments beginning on January 15, 2000. Read SEC document |
| June 12, 2007 Filed Jun 14, 2007 00:35 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | SaleCommon Stock | 160,000 | $41.95 | $6,712,192.00 |
DisclosureSEC source: 0001234452-07-000136 · edgardoc.xml · nonDerivative · entry 2 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| June 12, 2007 Filed Jun 14, 2007 00:35 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | Exercise / conversionCommon Stock | 160,000 | $4.30 | $688,000.00 |
DisclosureSEC source: 0001234452-07-000136 · edgardoc.xml · nonDerivative · entry 1 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,000 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 |
| March 13, 2007 Filed Oct 6, 2007 01:12 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 14,000 | $0.00 Strike: $41.83 | $0.00 |
DisclosureSEC source: 0001234452-07-000236 · edgardoc.xml · derivative · entry 1 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,000 Underlying: Common Stock · 14,000 shares Expires 2017-03-12 F1 · derivative.exercise_date: The options vest 100% one year from the date of grant. Read SEC document |
| April 21, 2006 Filed Apr 25, 2006 16:03 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $2.91 | $0.00 |
DisclosureSEC source: 0001234452-06-000122 · edgardoc.xml · derivative · entry 5 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2008-02-09 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 · derivative.exercise_date: The option vests in five equal annual installments beginning on January 15, 1999. Read SEC document |
| April 21, 2006 Filed Apr 25, 2006 16:03 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 70,000 | $0.00 Strike: $2.91 | $0.00 |
DisclosureSEC source: 0001234452-06-000122 · edgardoc.xml · derivative · entry 4 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 70,000 shares Expires 2008-02-09 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 · derivative.exercise_date: The option vests in five equal annual installments beginning on January 15, 1999. Read SEC document |
| April 21, 2006 Filed Apr 25, 2006 16:03 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | Exercise / conversionCommon Stock | 10,000 | $2.91 | $29,100.00 |
DisclosureSEC source: 0001234452-06-000122 · edgardoc.xml · nonDerivative · entry 3 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 111,340 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 · ownership.nature: Securities held by Duane A. Nelles and Gaile G. NellesTrustees for the Nelles Intervivos Trust dtd. 3/29/1976. Read SEC document |
| April 21, 2006 Filed Apr 25, 2006 16:03 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | SaleCommon Stock | 70,000 | $51.75 | $3,622,500.00 |
DisclosureSEC source: 0001234452-06-000122 · edgardoc.xml · nonDerivative · entry 2 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| April 21, 2006 Filed Apr 25, 2006 16:03 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | Exercise / conversionCommon Stock | 70,000 | $2.91 | $203,700.00 |
DisclosureSEC source: 0001234452-06-000122 · edgardoc.xml · nonDerivative · entry 1 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 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 |
| March 07, 2006 Filed Mar 9, 2006 23:57 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 18,000 | $0.00 Strike: $47.24 | $0.00 |
DisclosureSEC source: 0001234452-06-000077 · edgardoc.xml · derivative · entry 1 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Stock · 18,000 shares Expires 2016-03-06 F1 · derivative.exercise_date: The options vest 10% on the six month anniversary of the date of grant and the remaining balance vests monthly thereafter. The option is fully vested five years after the date of grant. Read SEC document |
| March 08, 2005 Filed Mar 10, 2005 21:53 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 18,000 | $0.00 Strike: $37.39 | $0.00 |
DisclosureSEC source: 0001234452-05-000059 · edgardoc.xml · derivative · entry 1 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Stock · 18,000 shares Expires 2015-03-07 F1 · derivative.exercise_date: The options vest 10% on the six month anniversary of the date of grant and the remaining balance vests monthly thereafter. The option is fully vested five years after the date of grant. Read SEC document |
| March 02, 2004 Filed Mar 4, 2004 18:35 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $62.75 | $0.00 |
DisclosureSEC source: 0001234452-04-000033 · edgardoc.xml · derivative · entry 1 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2014-03-01 F1 · derivative.exercise_date: The options vest 10% on the six month anniversary of the date of grant and the remaining balance vests monthly thereafter. The option is fully vested five years after the date of grant. Read SEC document |
| November 12, 2003 Filed Nov 13, 2003 23:45 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $5.82 | $0.00 |
DisclosureSEC source: 0001234452-03-000143 · edgardoc.xml · derivative · entry 3 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 20,000 shares Expires 2008-02-09 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 · derivative.exercise_date: The option vests in five equal annual installments beginning on January 15, 1999. Read SEC document |
| November 12, 2003 Filed Nov 13, 2003 23:45 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | SaleCommon Stock | 20,000 | $47.76 | $955,100.00 |
DisclosureSEC source: 0001234452-03-000143 · edgardoc.xml · nonDerivative · entry 2 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,670 Read SEC document |
| November 12, 2003 Filed Nov 13, 2003 23:45 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | Exercise / conversionCommon Stock | 20,000 | $5.82 | $116,400.00 |
DisclosureSEC source: 0001234452-03-000143 · edgardoc.xml · nonDerivative · entry 1 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,670 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 |
| November 10, 2003 Filed Nov 12, 2003 17:24 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $5.82 | $0.00 |
DisclosureSEC source: 0001234452-03-000139 · edgardoc.xml · derivative · entry 3 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 20,000 shares Expires 2008-02-09 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 · derivative.exercise_date: The option vests in five equal annual installments beginning on January 15, 1999. Read SEC document |
| November 10, 2003 Filed Nov 12, 2003 17:24 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | SaleCommon Stock | 20,000 | $47.48 | $949,616.00 |
DisclosureSEC source: 0001234452-03-000139 · edgardoc.xml · nonDerivative · entry 2 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,670 Read SEC document |
| November 10, 2003 Filed Nov 12, 2003 17:24 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | Exercise / conversionCommon Stock | 20,000 | $5.82 | $116,400.00 |
DisclosureSEC source: 0001234452-03-000139 · edgardoc.xml · nonDerivative · entry 1 NELLES DUANE · CIK 0001179885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,670 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.