SEC Form 4 · accession 0001205233-18-000088
QUALCOMM INC/DE · QCOM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian Modoff
Officer — EVP, Strategy and M&A
Period of report
Nov 20, 2018
Accepted (ET)
Nov 21, 2018 · 11:32 am EST
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 StockF1 | Nov 20, 2018 | M | 7,162 | $0.00 | A | 32,548 | I | by Trust |
| Common StockF1 | Nov 20, 2018 | M | 8,416 | $0.00 | A | 40,964 | I | by Trust |
| Common StockF1 | Nov 20, 2018 | F | 1,744 | $54.92 | D | 39,220 | I | by Trust |
| Common StockF1 | Nov 20, 2018 | F | 3,258 | $54.92 | D | 35,962 | I | by Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF2,F3 | — | Nov 20, 2018 | M | 7,162 | D | — | Nov 20, 2019 | Common Stock | 7,162 | 7,163 | D |
| Restricted Stock UnitF2,F4 | — | Nov 20, 2018 | M | 8,417 | D | — | Nov 20, 2020 | Common Stock | 8,417 | 16,834 | D |
Explanation of responses
- F1Securities held by Brian Modoff & Terry Modoff TTEES the Modoff Family Rev Trust uad 6/22/01 AMD & RSTD 12/3/2015.
- F2Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting.
- F3The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2017, 2018 and 2019.
- F4The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2018, 2019 and 2020.