Rosenberg Donald J's Form 4 filing
Qualcomm Inc (QCOM) · filed Oct 5, 2021
- Accession no.
- 0001205233-21-000056
- 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 $1.45M. 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 |
|---|---|
| Rosenberg Donald JCIK 0001347420 | Officer (General Counsel) |
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 | +10,084 | $0.00 | $0 | 10,275 | Direct | |
| Oct 1, 2021 | Common Stock | MOption exerciseAcquired | +9,474 | $0.00 | $0 | 19,749 | Direct | |
| Oct 1, 2021 | Common Stock | MOption exerciseAcquired | +5,532 | $0.00 | $0 | 25,281 | Direct | |
| Oct 1, 2021 | Common Stock | FTax withholdingDisposed | −3,626 | $128.71 | −$466,702.46 | 21,655 | Direct | |
| Oct 1, 2021 | Common Stock | FTax withholdingDisposed | −4,475 | $128.71 | −$575,977.25 | 17,180 | Direct | |
| Oct 1, 2021 | Common Stock | FTax withholdingDisposed | −3,003 | $128.71 | −$386,516.13 | 14,177 | Direct | |
| Oct 4, 2021 | Common Stock | SSaleDisposed | −11,457 | $126.44F3 | −$1,448,623.08 | 2,720 | 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 | −10,084.89 | $0.00 | $0 | 0 | Direct | |
| Oct 1, 2021 | Common Stock | MOption exerciseDisposed | −9,474.67 | $0.00 | $0 | 9,474.67 | Direct | |
| Oct 1, 2021 | Common Stock | MOption exerciseDisposed | −5,532.37 | $0.00 | $0 | 11,066.79 | 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.
- F3
The sale prices for this transaction ranged from $126.0267 to $126.6100. The filer hereby agrees to provide, upon request, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.