SEC Form 4 · accession 0001234452-16-000575
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
Nov 20, 2016
Accepted (ET)
Nov 21, 2016 · 6:49 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 StockF1 | Nov 20, 2016 | M | 3,349 | $0.00 | A | 11,245 | I | by Trust |
| Common StockF1 | Nov 20, 2016 | M | 2,243 | $0.00 | A | 13,488 | I | by Trust |
| Common StockF1 | Nov 20, 2016 | M | 1,888 | $0.00 | A | 15,376 | I | by Trust |
| Common StockF1 | Nov 20, 2016 | M | 1,613 | $0.00 | A | 16,989 | I | by Trust |
| Common StockF1 | Nov 20, 2016 | F | 4,205 | $67.31 | D | 12,784 | I | by Trust |
| Common StockF3,F1 | Nov 21, 2016 | S | 9,810 | $66.5258 | D | 2,974 | 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 UnitF4,F5 | — | Nov 20, 2016 | M | 1,614 | D | — | Nov 20, 2016 | Common Stock | 1,614 | 0 | D |
| Restricted Stock UnitF4,F6 | — | Nov 20, 2016 | M | 1,888 | D | — | Nov 20, 2017 | Common Stock | 1,888 | 1,888 | D |
| Restricted Stock UnitF4,F7 | — | Nov 20, 2016 | M | 3,349 | D | — | Nov 20, 2018 | Common Stock | 3,349 | 13,428 | D |
| Restricted Stock UnitF4,F7 | — | Nov 20, 2016 | M | 2,244 | D | — | Nov 20, 2018 | Common Stock | 2,244 | 11,185 | D |
Explanation of responses
- F1Securities held by Michelle Marie Sterling, TTEE of the Michelle Marie Sterling Trust DTD 11/26/2008.
- F2The transaction was conducted under a Rule 10b5-1 trading plan.
- F3The sale prices for this transaction ranged from $66.20 to $67.11. The filer hereby agrees to provide, upon request, full information regarding the number of shares sold at each separate price.
- F4Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting.
- F5The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2014, 2015 and 2016.
- F6The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2015, 2016 and 2017.
- F7The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2016, 2017 and 2018.