SEC Form 4 · accession 0001205233-18-000005
QUALCOMM INC/DE · QCOM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James H Thompson
Officer — EVP, Engineering & CTO
Period of report
Mar 9, 2018
Accepted (ET)
Mar 13, 2018 · 5:48 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000804328
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 9, 2018 | M | 62,000 | $43.24 | A | 136,482 | D | |
| Common StockF1,F2 | Mar 9, 2018 | S | 50,126 | $62.6643 | D | 86,356 | D | |
| Common StockF3 | holding | — | — | — | 3,135 | I | Childrens' Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F4 | $43.24 | Mar 9, 2018 | M | 62,000 | D | — | Apr 24, 2018 | Common Stock | 62,000 | 0 | D |
Explanation of responses
- F1The sale prices for this transaction ranged from $62.65 to $62.79. The filer hereby agrees to provide, upon request, full information regarding the number of shares sold at each separate price.
- F2Includes 235 shares acquired on July 31, 2017 and 234 shares acquired on January 31, 2018 under the Company's Employee Stock Purchase Plan.
- F3Shares are held in individual trusts for the benefit of the reporting person's children. Dr. Thompson disclaims all beneficial ownership for the shares held in trusts for the benefit of his children.
- F4The 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.