-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, BMLatHO6/6hg/z95lUolRxXVrQllz3gqkHQpFxbYIuP/xSVx494D4dQGUgY/b7gz Mt2tdFYkbErBsU4Xh4gLSQ== 0000950123-11-013501.txt : 20110214 0000950123-11-013501.hdr.sgml : 20110214 20110214143423 ACCESSION NUMBER: 0000950123-11-013501 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: A123 SYSTEMS, INC. CENTRAL INDEX KEY: 0001167178 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 043583876 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-85172 FILM NUMBER: 11606110 BUSINESS ADDRESS: STREET 1: ARSENAL ON THE CHARLES STREET 2: 321 ARSENAL STREET CITY: WATERTOWN STATE: MA ZIP: 02472 BUSINESS PHONE: 6177785700 MAIL ADDRESS: STREET 1: ARSENAL ON THE CHARLES STREET 2: 321 ARSENAL STREET CITY: WATERTOWN STATE: MA ZIP: 02472 FORMER COMPANY: FORMER CONFORMED NAME: A123 SYSTEMS INC DATE OF NAME CHANGE: 20020212 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: QUALCOMM INC/DE CENTRAL INDEX KEY: 0000804328 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 953685934 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 5775 MOREHOUSE DR CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 8585871121 MAIL ADDRESS: STREET 1: 5775 MOREHOUSE DR CITY: SAN DIEGO STATE: CA ZIP: 92121 SC 13G/A 1 a58695sc13gza.htm SC 13G/A sc13gza

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G

(Rule 13d-102)

(Amendment No. 1)

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1 (b), (c) and (d) AND AMENDMENTS THERETO
FILED PURSUANT TO RULE 13d-2*

A123 Systems, Inc.
(Name of Issuer)
Common Stock, par value $0.001
(Title of Class of Securities)
03739T108
(CUSIP Number)
December 31, 2010
(Date of Event Which Requires Filing of this Statement)

     o Rule 13d-1(b)

     o Rule 13d-1(c)

     þ Rule 13d-1(d)

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934, as amended (the“Act”), or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.

 
 

 

 

                     
CUSIP No.
  
03739T108 
  

 

           
1   NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

QUALCOMM Incorporated     I.D. No. 95-3685934
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
  (a)   o
  (b)   þ
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  Delaware
       
  5   SOLE VOTING POWER
     
NUMBER OF   5,351,864
       
SHARES 6   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   0
       
EACH 7   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   5,351,864
       
WITH 8   SHARED DISPOSITIVE POWER
     
    0
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  5,351,864
     
10   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
  5.10%
     
12   TYPE OF REPORTING PERSON
   
  CO

 

 

Item 1.
  (a)   Name of Issuer
 
      The name of the issuer is A123 Systems, Inc. (the “Issuer”).
 
  (b)   Address of the Issuer’s Principal Executive Offices
 
      Arsenal on the Charles, 321 Arsenal Street, Watertown, MA 02472
Item 2.
  (a)   Name of Person Filing
 
      QUALCOMM Incorporated
 
  (b)   Address of Principal Business Office or, if none, Residence
 
      5775 Morehouse Dr., San Diego, California 92121
 
  (c)   Citizenship
 
      QUALCOMM Incorporated is a Delaware corporation
 
  (d)   Title of Class of Securities
 
      Common Stock, par value $0.001
 
  (e)   CUSIP Number
 
      03739T108
Item 3. If this statement is filed pursuant to §§ 240.13d-1(b) or 420.13d-2(b) or (c), check whether the person filing is a:
      Not Applicable
  (a) o  Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o).
 
  (b) o  Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c).
 
  (c) o  Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c).
 
  (d) o  Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
 
  (e) o  An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
 
  (f) o  An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
 
  (g) o  A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G)
 
  (h) o  A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
 
  (i) o  A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
 
  (j) o  Group, in accordance with § 240.13d-1(b)(1)(ii)(J).
Item 4. Ownership
  (a)   Amount beneficially owned: 5,351,864
 
  (b)   Percent of class: 5.10%
 
  (c)   Number of shares as to which the person has:
  (i)   Sole power to vote or to direct the vote: 5,351,864
 
  (ii)   Shared power to vote or to direct the vote: 0

 

 

  (iii)   Sole power to dispose or to direct the disposition of: 5,351,864
 
  (iv)   Shared power to dispose or to direct the disposition of: 0
Item 5. Ownership of Five Percent or Less of a Class.
     If this Schedule is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following o.
     Not Applicable.
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
     If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than five percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required.
     Not Applicable.
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.
     If a parent holding company or control person has filed this schedule, pursuant to Rule 13d-1(b)(1)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company or control person has filed this Schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary.
     Not Applicable.
Item 8. Identification and Classification of Members of the Group.
     If a group has filed this Schedule pursuant to Rule 13d-1(b)(1)(ii)(J), so indicate under item 3(j) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed this Schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identity of each member of the group.
     Not Applicable.

 

 

Item 9. Notice of Dissolution of Group.
     Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported on will be filed, if required, by members of the group, in their individual capacity. See Item 5.
     Not Applicable.
Item 10. Certification.
     Not Applicable.

 

 

SIGNATURE
     After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated: February 14, 2011
         
     
  /s/ Richard F. Grannis    
  Richard F. Grannis,   
  Senior Vice President and Treasurer   
 

 

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