Rogers Alexander H's Form 4 filing
Qualcomm Inc (QCOM) · filed Oct 5, 2021
- Accession no.
- 0001205233-21-000055
- Filed
- Oct 5, 2021
- Trade date
- Oct 1-4, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 3 derivative transactions. Open-market sales total $1.18M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Rogers Alexander HCIK 0001687791 | Officer (President QTL & Global Affairs) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 1, 2021 | Common Stock | MOption exerciseAcquired | +8,964 | $0.00 | $0 | 36,001 | Direct | |
| Oct 1, 2021 | Common Stock | MOption exerciseAcquired | +10,527 | $0.00 | $0 | 46,528 | Direct | |
| Oct 1, 2021 | Common Stock | MOption exerciseAcquired | +6,147 | $0.00 | $0 | 52,675 | Direct | |
| Oct 1, 2021 | Common Stock | FTax withholdingDisposed | −3,073 | $128.71 | −$395,525.83 | 49,602 | Direct | |
| Oct 1, 2021 | Common Stock | FTax withholdingDisposed | −4,972 | $128.71 | −$639,946.12 | 44,630 | Direct | |
| Oct 1, 2021 | Common Stock | FTax withholdingDisposed | −3,337 | $128.71 | −$429,505.27 | 41,293 | Direct | |
| Oct 4, 2021 | Common Stock | SSaleDisposed | −9,157 | $128.92 | −$1,180,520.44 | 32,136 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 1, 2021 | Common Stock | MOption exerciseDisposed | −8,964.1 | $0.00 | $0 | 0 | Direct | |
| Oct 1, 2021 | Common Stock | MOption exerciseDisposed | −10,527.41 | $0.00 | $0 | 10,527.41 | Direct | |
| Oct 1, 2021 | Common Stock | MOption exerciseDisposed | −6,147.2 | $0.00 | $0 | 12,296.43 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.