SEC Form 4 · accession 0001205233-18-000060
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
Aug 10, 2018
Accepted (ET)
Aug 23, 2018 · 6:34 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 | Aug 2, 2018 | G | 1,314 | $0.00 | D | 97,967 | D | |
| Common Stock | Aug 9, 2018 | G | 90 | $0.00 | D | 97,877 | D | |
| Common StockF1,F2 | Aug 10, 2018 | J | 45,453 | — | D | 52,424 | D | |
| Common StockF3 | Aug 10, 2018 | J | 45,453 | — | D | 6,971 | D | |
| Common StockF4 | Aug 2, 2018 | G | 1,314 | $0.00 | A | 4,449 | I | Childrens' Trust |
| Common StockF4 | Aug 9, 2018 | G | 90 | $0.00 | A | 4,539 | I | Childrens' Trust |
| Common StockF1 | Aug 10, 2018 | J | 45,453 | — | A | 45,453 | I | by Spouse |
| Common StockF5 | Aug 10, 2018 | J | 45,453 | — | D | 0 | I | by Spouse |
| Common StockF5,F6 | Aug 10, 2018 | J | 45,453 | — | A | 45,453 | I | by Spouse's Trust |
| Common StockF3,F6 | Aug 10, 2018 | J | 45,453 | — | A | 45,453 | I | by Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Dr. Thompson and his wife transmuted their community property interest in 90,906 shares to 45,453 shares as the separate property of Dr. Thompson and 45,453 shares as the separate property of his wife.
- F2Includes 187 shares acquired under the Company's Employee Stock Purchase Plan on July 31, 2018.
- F3In connection with an estate tax planning transaction, Dr. Thompson transferred 45,453 shares to a grantor trust which issued an unsecured promissory note to Dr. Thompson. Dr. Thompson, his spouse and children are the beneficiaries of the grantor trust.
- F4Shares are held in individual trusts for the benefit of Dr. Thompson's children. Dr. Thompson disclaims all beneficial ownership for the shares held in trusts for the benefit of his children.
- F5In connection with an estate planning transaction, Dr. Thompson's spouse transferred 45,453 shares to a separate grantor trust which issued an unsecured promissory note to the spouse. Dr. Thompson, his spouse and their children are beneficiaries of the grantor trust.
- F6Securities held by Premier Trust, as trustee.