SEC Form 4 · accession 0001205233-18-000092
QUALCOMM INC/DE · QCOM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James H Thompson
Officer — EVP, Engineering & CTO, QTI
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 Stock | Nov 20, 2018 | M | 18,976 | $0.00 | A | 25,947 | D | |
| Common Stock | Nov 20, 2018 | F | 10,300 | $54.92 | D | 15,647 | D | |
| Common StockF1 | holding | — | — | — | 4,539 | I | Childrens' Trust | |
| Common StockF2 | holding | — | — | — | 45,453 | I | by Spouse's Trust | |
| Common StockF2 | holding | — | — | — | 45,453 | 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 UnitF3,F4 | — | Nov 20, 2018 | M | 18,977 | D | — | Nov 20, 2020 | Common Stock | 18,977 | 37,952 | D |
Explanation of responses
- F1Shares 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.
- F2Securities held by Premier Trust, as trustee.
- F3Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting.
- F4The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2018, 2019 and 2020.