sc13g
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
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, 2009
(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 persons 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.
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1 |
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NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON QUALCOMM Incorporated I.D. No. 95-3685934 |
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2 |
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a) o |
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(b) þ |
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3 |
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SEC USE ONLY |
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4 |
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CITIZENSHIP OR PLACE OF ORGANIZATION |
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Delaware |
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5 |
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SOLE VOTING POWER |
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NUMBER OF |
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5,351,864 |
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SHARES |
6 |
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SHARED VOTING POWER |
BENEFICIALLY |
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OWNED BY |
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0 |
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EACH |
7 |
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SOLE DISPOSITIVE POWER |
REPORTING |
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PERSON |
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5,351,864 |
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WITH |
8 |
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SHARED DISPOSITIVE POWER |
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0 |
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9 |
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
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5,351,864 |
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10 |
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |
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o |
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11 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) |
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5.22% |
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12 |
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TYPE OF REPORTING PERSON |
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CO |
Item 1.
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(a) |
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Name of Issuer |
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The name of the issuer is A123 Systems, Inc. (the Issuer). |
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(b) |
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Address of the Issuers Principal Executive Offices |
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Arsenal on the Charles, 321 Arsenal Street, Watertown, MA 02472 |
Item 2.
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(a) |
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Name of Person Filing |
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QUALCOMM Incorporated |
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(b) |
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Address of Principal Business Office or, if none, Residence |
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5775 Morehouse Dr., San Diego, California 92121 |
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(c) |
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Citizenship |
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QUALCOMM Incorporated is a Delaware corporation |
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(d) |
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Title of Class of Securities |
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Common Stock, par value $0.001 |
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(e) |
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CUSIP Number |
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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:
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Not Applicable |
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(a) o |
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Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o). |
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(b) o |
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Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c). |
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(c) o |
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Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C.
78c). |
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(d) o |
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Investment company registered under Section 8 of the Investment Company
Act of 1940 (15 U.S.C. 80a-8). |
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(e) o |
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An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
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(f) o |
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An employee benefit plan or endowment fund in accordance with
§ 240.13d-1(b)(1)(ii)(F); |
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(g) o |
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A parent holding company or control person in accordance with
§ 240.13d-1(b)(1)(ii)(G) |
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(h) o |
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A savings association as defined in Section 3(b) of the Federal Deposit
Insurance Act (12 U.S.C. 1813); |
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(i) o |
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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); |
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(j) o |
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Group, in accordance with § 240.13d-1(b)(1)(ii)(J). |
Item 4. Ownership
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(a) |
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Amount beneficially owned: 5,351,864 |
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(b) |
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Percent of class: 5.22% |
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(c) |
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Number of shares as to which the person has: |
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(i) |
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Sole power to vote or to direct the vote: 5,351,864 |
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(ii) |
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Shared power to vote or to direct the vote: 0 |
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(iii) |
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Sole power to dispose or to direct the disposition of: 5,351,864 |
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(iv) |
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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 Schedule 13G is true, complete and correct.
Dated: February 16, 2010
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/s/ Richard F. Grannis
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Richard F. Grannis, |
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Senior Vice President and Treasurer |
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