SEC Form 4 · accession 0001205233-19-000012
QUALCOMM INC/DE · QCOM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James H Thompson
Officer — EVP, Engineering QTI & CTO
Period of report
Feb 11, 2019
Accepted (ET)
Feb 12, 2019 · 4:55 pm 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 | Feb 11, 2019 | M | 40,000 | $41.36 | A | 62,301 | D | |
| Common StockF2,F3 | Feb 11, 2019 | S | 40,000 | $50.7517 | D | 22,301 | D | |
| Common StockF4 | holding | — | — | — | 4,539 | I | Childrens' Trust | |
| Common StockF5 | holding | — | — | — | 45,453 | I | by Spouse's Trust | |
| Common StockF5 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F6 | $41.36 | Feb 11, 2019 | M | 40,000 | D | — | Apr 23, 2019 | Common Stock | 40,000 | 0 | D |
Explanation of responses
- F1The transaction was conducted under a Rule 10b5-1 trading plan.
- F2The sale prices for this transaction ranged from $50.385 to $50.98. The filer hereby agrees to provide, upon request, full information regarding the number of shares sold at each separate price.
- F3Includes 194 shares acquired under the Company's Employee Stock Purchase Plan on January 31, 2019.
- 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.
- F5Securities held by Premier Trust, as trustee.
- F6The 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.