SEC Form 4 · accession 0001234452-17-000198
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, 2017
Accepted (ET)
Nov 21, 2017 · 6:35 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, 2017 | M | 6,896 | $0.00 | A | 6,896 | I | by Trust |
| Common StockF1 | Nov 20, 2017 | M | 3,479 | $0.00 | A | 10,375 | I | by Trust |
| Common StockF1 | Nov 20, 2017 | M | 2,330 | $0.00 | A | 12,705 | I | by Trust |
| Common StockF1 | Nov 20, 2017 | M | 1,961 | $0.00 | A | 14,666 | I | by Trust |
| Common StockF1 | Nov 20, 2017 | F | 737 | $66.47 | D | 13,929 | I | by Trust |
| Common StockF1 | Nov 20, 2017 | F | 1,308 | $66.47 | D | 12,621 | I | by Trust |
| Common StockF1 | Nov 20, 2017 | F | 1,182 | $66.47 | D | 11,439 | I | by Trust |
| Common StockF1 | Nov 20, 2017 | F | 3,599 | $66.47 | D | 7,840 | I | by Trust |
| Common StockF3,F1 | Nov 21, 2017 | S | 4,340 | $66.4312 | D | 3,500 | I | by Trust |
| Common StockF4,F1 | Nov 21, 2017 | S | 3,500 | $66.726 | 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 | — | Nov 20, 2017 | M | 1,961 | D | — | Nov 20, 2017 | Common Stock | 1,961 | 0 | D |
| Restricted Stock UnitF5,F7 | — | Nov 20, 2017 | M | 3,480 | D | — | Nov 20, 2018 | Common Stock | 3,480 | 8,140 | D |
| Restricted Stock UnitF5,F7 | — | Nov 20, 2017 | M | 2,331 | D | — | Nov 20, 2018 | Common Stock | 2,331 | 5,809 | D |
| Restricted Stock UnitF5,F8 | — | Nov 20, 2017 | M | 6,896 | D | — | Nov 20, 2019 | Common Stock | 6,896 | 13,794 | 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 $65.6250 to $66.6201. The filer hereby agrees to provide, upon request, full information regarding the number of shares sold at each separate price.
- F4The sale prices for this transaction ranged from $66.64 to $66.86. 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 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.
- F8The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2017, 2018 and 2019.