SEC Form 4 · accession 0001234452-17-000112
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
May 20, 2017
Accepted (ET)
May 23, 2017 · 4:44 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,F2 | May 20, 2017 | M | 1,758 | $0.00 | A | 4,934 | I | by Trust |
| Common StockF2 | May 20, 2017 | M | 1,980 | $0.00 | A | 6,914 | I | by Trust |
| Common StockF2 | May 20, 2017 | F | 661 | $57.67 | D | 6,253 | I | by Trust |
| Common StockF2 | May 20, 2017 | F | 744 | $57.67 | D | 5,509 | I | by Trust |
| Common StockF4,F2 | May 22, 2017 | S | 5,509 | $59.1131 | D | 0 | 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 UnitF5,F6 | — | May 20, 2017 | M | 1,758 | D | — | May 20, 2017 | Common Stock | 1,758 | 0 | D |
| Restricted Stock UnitF5,F7 | — | May 20, 2017 | M | 1,981 | D | — | May 20, 2018 | Common Stock | 1,981 | 1,981 | D |
Explanation of responses
- F1Includes 202 shares acquired under the Company's Employee Stock Purchase Plan on January 31, 2017.
- F2Securities held by Michelle Marie Sterling, TTEE of the Michelle Marie Sterling Trust DTD 11/26/2008.
- F3The transaction was conducted under a Rule 10b5-1 trading plan.
- F4The sale prices for this transaction ranged from $58.41 to $59.32. The filer hereby agrees to provide, upon request, full information regarding the number of shares sold at each separate price.
- F5Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting.
- F6The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on May 20, 2015, 2016 and 2017.
- F7The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on May 20, 2016, 2017 and 2018.