SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 04/02/2019 | 3. Issuer Name and Ticker or Trading Symbol QUALCOMM INC/DE [ QCOM ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 17,293 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Phantom Stock Unit(1) | (2) | (3) | Common Stock | 5,826.1089 | 0.0 | I | by Grantor Trust(1) |
Restricted Stock Unit | (4) | 11/20/2019(4) | Common Stock | 3,231.1936 | (5) | D | |
Restricted Stock Unit | (6) | 11/20/2020(6) | Common Stock | 6,125.9164 | (5) | D | |
Restricted Stock Unit | (7) | 02/20/2021(7) | Common Stock | 1,645.7008 | (5) | D | |
Restricted Stock Unit | (8) | 11/20/2021(8) | Common Stock | 11,376.8072 | (5) | D |
Explanation of Responses: |
1. The common stock issued under the terms of the Company's Non-Qualified Deferred Compensation Plan, a tax conditioned plan, is exempt under Rule 16b-3. The shares are held in a grantor trust and stock is the only permissible form of distribution under the Plan. |
2. The rights awarded under the Company's Non-Qualified Deferred Compensation Plan will be eligible for distribution upon termination and vest 100% after 2 years of continuous service with the Company. |
3. The rights awarded under the Company's Non-Qualified Deferred Compensation Plan will be eligible for distribution upon termination. |
4. The Restricted Stock Units (and allocable dividend equivalents) vested one-third on November 20, 2017, and the remaining balance vests semi-annually thereafter. |
5. Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting. |
6. The Restricted Stock Units (and allocable dividend equivalents) vested one-third on November 20, 2018, and the remaining balance vests semi-annually thereafter. |
7. The Restricted Stock Units (and allocable dividend equivalents) vest one-third on February 20, 2019, and the remaining balance vests semi-annually thereafter. |
8. The Restricted Stock Units (and allocable dividend equivalents) vest one-third on November 20, 2019, and the remaining balance vests semi-annually thereafter. |
By: David Zuckerman, Attorney-in-Fact For: David Wise | 04/09/2019 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |