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2013年2月15日 星期五

How to Read SEC Form 4 如何解讀 SEC Form 4

FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.See Instruction 1(b).          
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                   
OMB APPROVAL 
OMB Number: 3235-0287 
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                       



1. Name and Address of Reporting Person *
JACOBS PAUL E
2. Issuer Name and Ticker or Trading Symbol
QUALCOMM INC/DE [ QCOM ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)_____ Director                      _____ 10% Owner 
__ __ Officer (give title below)      _____ Other (specify below) 
Chairman & CEO
(Last)          (First)          (Middle)

5775 MOREHOUSE DR.
3. Date of Earliest Transaction (MM/DD/YYYY)
2/4/2013
(Street)

SAN DIEGO, CA 92121-1714
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)
 
6. Individual or Joint/Group Filing (Check Applicable Line)
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date2A. Deemed Execution Date, if any3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock  2/4/2013   M  50500.0 A$37.29  419625.0   by Trust  (1)
Common Stock  2/4/2013   (2)  50500.0 D$66.9625   (3)369125.0   by Trust  (1)
Common Stock  2/5/2013   M  19500.0 A$37.29  388625.0   by Trust  (1)
Common Stock  2/5/2013   (2)  19500.0 D$66.9603   (4)369125.0   by Trust  (1)
Common Stock          27839.0    
Common Stock          454337.0   By GRAT  (5)
Common Stock          454337.0   by GRAT S   (6)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Non-Qualified Stock Option (right to buy) $37.29  2/4/2013        50500.0     (7)11/11/2017 Common Stock  50500.0  $0.0  347947.0    
Non-Qualified Stock Option (right to buy) $37.29  2/5/2013        19500.0     (7)11/11/2017 Common Stock  19500.0  $0.0  328447.0    

Explanation of Responses:
(1) Securities held by Paul E. Jacobs and Stacy Jacobs Trustees for the Paul & Stacy Jacobs Family Trust dtd. 5/3/00.
(2) The transaction was conducted under a 10b5-1 Plan, as defined under the Securities Exchange Act of 1934, as amended.
(3) The sale prices for this transaction ranged from $66.96 to $66.975. The filer hereby agrees to provide, upon request, full information regarding the number of shares sold at each separate price.
(4) The sale prices for this transaction ranged from $66.96 to $66.9683. The filer hereby agrees to provide, upon request, full information regarding the number of shares sold at each separate price.
(5) Securities held by Harlan A. Jacobs, Trustee of The Paul E. Jacobs Grantor Retained Annuity Trust (GRAT).
(6) Securities held by Harlan A. Jacobs, Trustee of The Stacy R. Jacobs Grantor Retained Annuity Trust (GRAT).
(7) 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.

Reporting Owners 
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
JACOBS PAUL E
5775 MOREHOUSE DR.
SAN DIEGO, CA 92121-1714


Chairman & CEO

Signatures 
By: Noreen E. Burns, Attorney-in-Fact For: Paul E. Jacobs2/6/2013
** Signature of Reporting PersonDate

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
*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).
Note:File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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.



Transaction Code Definitions

General Transaction Codes
  • P – Open market or private purchase of securities
  • S – Open market or private sale of securities
  • V – Transaction voluntarily reported earlier than required
Rule 16b-3 Transaction Codes
  • A – Grant, award, or other acquisition
  • D – Sale (or disposition) back to the issuer of the securities
  • F – Payment of exercise price or tax liability by delivering or withholding securities
  • I – Discretionary transaction, which is an order to the broker to execute the transaction at the best possible price
  • M – Exercise of conversion of derivative security
Derivative Securities Codes
  • C – Conversion of derivative security (usually options)
  • E – Expiration of short derivative position (usually options)
  • H – Expiration (or cancellation) of long derivative position with value received (usually options)
  • O – Exercise of out-of-the-money derivative securities (usually options)
  • X – Exercise of in-the-money or at-the-money derivatives securities (usually options)
Other Sections 16b Exempt Transactions and Small Acquisition Codes
  • G – Bona fide gift
  • L – Small Acquisition
  • W – Acquisition or disposition by will or laws of descent and distribution
  • Z – Deposit into or withdrawal from voting trust
Other Transaction Codes
  • J – Other acquisition or disposition (transaction described in footnotes)
  • K – Transaction in equity swap or similar instrument
  • U – Disposition due to a tender of shares in a change of control transaction

2013年2月4日 星期一

當你65歲時, 台灣有多少人比你還老?


三階段人口年齡結構變動趨勢-中推計
policy_12_037.gif
說明:圓圈內百分比數字代表三階段年齡人口結構百分比。
資料來源:1. 1990 年至2011 年為內政部「中華民國人口統計年刊」。
     2. 2012 年至2060 年為本報告。

2012年全球外人直接投資(FDI)金額僅達1.3兆美元, 衰退18.3%。


聯合國貿易暨發展會議(UNCTAD)最新公布之「全球投資趨勢監測(Global Investment Trends Monitor)」報告指出,由於2012年全球總體經濟疲弱及政策不明朗,2012年全球外人直接投資(FDI)金額僅達1.3兆美元,較2011年的1.6兆美元減少3,000億美元,衰退18.3%。
UNCTAD 表示,FDI的主要形式有二:新創投資(Greenfield Investment)、跨國併購(M&A)。而聯合國該報告指出,併購相較於去年同期,大幅減少41%,為2009年來最低量,併購大幅減少的原因是因為企業對於前景仍有疑慮。至於新創投資部分,與去年同期相比亦減少了34%,為第4年連續下滑,惟新創投資仍占全球外人直接投資之66.6%。

2012年全球FDI共下降3,000億美元,其中先進國家部分 即減少2,700億美元,占全球FDI減幅之90%,如美國減少35.3%,德國更大幅減少96.8%。相較之下,開發中國家FDI僅衰退3.2%,開發中國家吸引之FDI總額,三年來首度超過已開發國家。亞洲開發中國家FDI與2011年相較減少9.5%,其中與我國經濟發展程度接近之南韓、香港、新加坡等經濟體都出現衰退現象,減少幅度由11.9%至24.6%不等,而中國大陸亦同樣衰退3.4%。上述報告雖未將我國列入,惟經經濟部洽UNCTAD投資組官員獲告,2011年台灣FDI為負19.6億美元,2012年則由負轉正為39億美元。

高達27%消費者傾向購買5吋以上之智慧型手機

ChangeWave 認為從2012年6月於美國上市以來,消費者傾向購買三星智慧型手機的意圖從當月19%,下降至2012年的9月13%,但是到了2012年12月竟然又上升,真的非比尋常。畢竟,三星Galaxy S3上市已經高達半年,應該會有所放緩才對,但是市場更為火爆。他們認為三星於第四季又推出大螢幕Galaxy Note 2所致。 

根據ChangeWave調查,高達27%消費者傾向購買5吋以上之智慧型手機機種。以目前市場iPhone 5的螢幕是4吋,Galaxy S3螢幕是4.8吋,而Galaxy Note 2是5.5吋來看,未來超過5吋螢幕機種也將受到更多廠商注意。
此外,對三星產品感興趣的消費者當中,69%的看好Galaxy S3,23%則是傾向選擇Galaxy Note 2。
在滿意度方面,蘋果的iOS仍舊位居首位,達到71%滿意度。最令人訝異的是有高達53%的Windows Phone智慧型手機消費者對於其手機很滿意高於Android的48%。在裝置方面,70%的iPhone用戶很滿意;而56%的諾基亞用戶很滿意其手機,這比起三星的55%手機客戶滿意度還要高。



圖一 智慧型手機消費者於未來90天要買三星品牌之比例 
Source : ChangeWave Research,2013年1月

圖二 智慧型手機消費者於未來90天要買蘋果品牌之比例
Source : ChangeWave Research,2013年1月

http://cdnet.stpi.narl.org.tw/techroom/market/eetelecomm_mobile/2013/eetelecomm_mobile_13_006.htm

Toshiba Developed Technology That Mitigates Parasitic Oscillation in SiC Power Modules Connected in Parallel

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