SEC Form 4 · accession 0001234452-17-000100
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
May 5, 2017
Accepted (ET)
May 11, 2017 · 1:41 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 | May 5, 2017 | M | 10,477 | $0.00 | A | 61,723 | D | |
| Common Stock | May 5, 2017 | M | 13,805 | $0.00 | A | 75,528 | D | |
| Common StockF1 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF2,F3 | — | May 5, 2017 | M | 10,477 | D | — | May 5, 2019 | Common Stock | 10,477 | 62,368 | D |
| Restricted Stock UnitF2,F3 | — | May 5, 2017 | M | 13,805 | D | — | May 5, 2019 | Common Stock | 13,805 | 48,563 | D |
Explanation of responses
- F1Shares 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.
- 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 5, 2017, 2018 and 2019.