SEC Form 4 · accession 0001234452-17-000079
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
Apr 21, 2017
Accepted (ET)
Apr 24, 2017 · 2:33 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 | Apr 21, 2017 | M | 25,000 | $44.63 | A | 76,246 | D | |
| Common StockF2,F3 | Apr 21, 2017 | S | 25,000 | $52.529 | D | 51,246 | D | |
| Common StockF4 | 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)F5 | $44.63 | Apr 21, 2017 | M | 25,000 | D | — | Apr 26, 2017 | Common Stock | 25,000 | 0 | D |
Explanation of responses
- F1The transaction was conducted under a Rule 10b5-1 trading plan.
- F2The sale prices for this transaction ranged from $52.21 to $52.79. The filer hereby agrees to provide, upon request, full information regarding the number of shares sold at each separate price.
- F3Includes 202 shares acquired under the Company's Employee Stock Purchase Plan on January 31, 2017.
- F4Shares are held in individual trusts for the benefit of the reporting person's children. Dr. Thompson disclaims all beneficial ownership for the shares held in trusts for the benefit of his children.
- F5The 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.