SEC Form 4 · accession 0001234452-16-000505
QUALCOMM INC/DE · QCOM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James H Thompson
Officer — EVP, Qualcomm Technologies Inc
Period of report
Sep 9, 2016
Accepted (ET)
Sep 12, 2016 · 2:40 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 Stock | Sep 9, 2016 | M | 10,000 | $44.63 | A | 59,497 | D | |
| Common StockF1,F2 | Sep 9, 2016 | S | 10,000 | $60.9379 | D | 49,497 | D | |
| Common Stock | holding | — | — | — | 1,620 | I | Childrens' 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)F3 | $44.63 | Sep 9, 2016 | M | 10,000 | D | — | Apr 26, 2017 | Common Stock | 10,000 | 25,000 | D |
Explanation of responses
- F1The sale prices for this transaction ranged from $60.931 to $60.945. The filer hereby agrees to provide, upon request, full information regarding the number of shares sold at each separate price.
- F2Includes 271 shares acquired under the Company's Employee Stock Purchase Plan on July 31, 2016.
- F3The options vest 10% on the six month anniversary of the date of grant and the remaining balance vests monthly thereafter, adjusted for any previously exercised options prior to becoming an affiliate. The option is fully vested five years after the date of grant.