SEC Form 4 · accession 0001205233-18-000091
QUALCOMM INC/DE · QCOM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michelle M Sterling
Officer — EVP, Human Resources
Period of report
Nov 20, 2018
Accepted (ET)
Nov 21, 2018 · 11:33 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 | 3,612 | $0.00 | A | 10,296 | I | by Trust |
| Common StockF1 | Nov 20, 2018 | M | 2,420 | $0.00 | A | 12,716 | I | by Trust |
| Common StockF1 | Nov 20, 2018 | M | 7,162 | $0.00 | A | 19,878 | I | by Trust |
| Common StockF1 | Nov 20, 2018 | M | 8,416 | $0.00 | A | 28,294 | I | by Trust |
| Common StockF1 | Nov 20, 2018 | F | 1,249 | $54.92 | D | 27,045 | I | by Trust |
| Common StockF1 | Nov 20, 2018 | F | 953 | $54.92 | D | 26,092 | I | by Trust |
| Common StockF1 | Nov 20, 2018 | F | 3,551 | $54.92 | D | 22,541 | I | by Trust |
| Common StockF1 | Nov 20, 2018 | F | 4,173 | $54.92 | D | 18,368 | 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 | 3,613 | D | — | Nov 20, 2018 | Common Stock | 3,613 | 2,421 | D |
| Restricted Stock UnitF2,F3 | — | Nov 20, 2018 | M | 2,421 | D | — | Nov 20, 2018 | Common Stock | 2,421 | 0 | D |
| Restricted Stock UnitF2,F4 | — | Nov 20, 2018 | M | 7,162 | D | — | Nov 20, 2019 | Common Stock | 7,162 | 7,163 | D |
| Restricted Stock UnitF2,F5 | — | Nov 20, 2018 | M | 8,417 | D | — | Nov 20, 2020 | Common Stock | 8,417 | 16,834 | D |
Explanation of responses
- F1Securities held by Michelle Marie Sterling, TTEE of the Michelle Marie Sterling Trust DTD 11/26/2008.
- 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, 2016, 2017 and 2018.
- F4The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2017, 2018 and 2019.
- F5The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2018, 2019 and 2020.