SEC Form 4 · accession 0001234452-16-000458
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
May 20, 2016
Accepted (ET)
May 23, 2016 · 1:31 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 StockF1 | May 20, 2016 | M | 1,643 | $0.00 | A | 1,643 | I | by Trust |
| Common StockF1 | May 20, 2016 | M | 1,697 | $0.00 | A | 3,340 | I | by Trust |
| Common StockF1 | May 20, 2016 | M | 1,912 | $0.00 | A | 5,252 | I | by Trust |
| Common StockF1 | May 20, 2016 | F | 617 | $54.52 | D | 4,635 | I | by Trust |
| Common StockF1 | May 20, 2016 | F | 638 | $54.52 | D | 3,997 | I | by Trust |
| Common StockF1 | May 20, 2016 | F | 719 | $54.52 | D | 3,278 | 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 | — | May 20, 2016 | M | 1,643 | D | — | May 20, 2016 | Common Stock | 1,643 | 0 | D |
| Restricted Stock UnitF2,F4 | — | May 20, 2016 | M | 1,697 | D | — | May 20, 2017 | Common Stock | 1,697 | 1,697 | D |
| Restricted Stock UnitF2,F5 | — | May 20, 2016 | M | 1,912 | D | — | May 20, 2018 | Common Stock | 1,912 | 3,824 | 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 May 20, 2014, 2015 and 2016.
- F4The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on May 20, 2015, 2016 and 2017.
- F5The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on May 20, 2016, 2017 and 2018.