SEC Form 4 · accession 0001234452-16-000497
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
Aug 20, 2016
Accepted (ET)
Aug 22, 2016 · 3:19 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 | Aug 20, 2016 | M | 6,965 | $0.00 | A | 10,514 | I | by Trust |
| Common StockF2,F1 | Aug 20, 2016 | F | 2,618 | $62.76 | D | 7,896 | 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 | — | Aug 20, 2016 | M | 6,965 | D | — | Aug 20, 2018 | Common Stock | 6,965 | 13,931 | D |
Explanation of responses
- F1Securities held by Michelle Marie Sterling, TTEE of the Michelle Marie Sterling Trust DTD 11/26/2008.
- F2Includes 271 shares acquired under the Company's Employee Stock Purchase Plan on July 31, 2016.
- 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-fourth amounts on August 20, 2015, 2016, 2017 and 2018.