Statement of Changes in Beneficial Ownership (4)
November 22 2019 - 11:51AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Palkhiwala Akash J. |
2. Issuer Name and Ticker or Trading Symbol
QUALCOMM INC/DE
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QCOM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP & Chief Financial Officer |
(Last)
(First)
(Middle)
5775 MOREHOUSE DR. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/20/2019 |
(Street)
SAN DIEGO, CA 92121-1714
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 11/20/2019 | | M | | 1916 | A | $0.0 | 20378 | D | |
Common Stock | 11/20/2019 | | M | | 2400 | A | $0.0 | 22778 | D | |
Common Stock | 11/20/2019 | | M | | 4541 | A | $0.0 | 27319 | D | |
Common Stock | 11/20/2019 | | F | | 663 | D | $85.62 | 26656 | D | |
Common Stock | 11/20/2019 | | F | | 830 | D | $85.62 | 25826 | D | |
Common Stock | 11/20/2019 | | F | | 1571 | D | $85.62 | 24255 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Unit | (1) | 11/20/2019 | | M | | | 1916.5217 | (2) | 11/20/2019 (2) | Common Stock | 1916.5217 | $0.0 | 0 | D | |
Restricted Stock Unit | (1) | 11/20/2019 | | M | | | 2400.3377 | (3) | 11/20/2020 (3) | Common Stock | 2400.3377 | $0.0 | 4800.6754 | D | |
Restricted Stock Unit | (1) | 11/20/2019 | | M | | | 4541.3888 | (4) | 11/20/2021 (4) | Common Stock | 4541.3888 | $0.0 | 9085.8938 | D | |
Explanation of Responses: |
(1) | Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting. |
(2) | The Restricted Stock Units (and allocable dividend equivalents) vested one-third on November 20, 2017, and the remaining balance vests semi-annually thereafter. |
(3) | The Restricted Stock Units (and allocable dividend equivalents) vested one-third on November 20, 2018, and the remaining balance vests semi-annually thereafter. |
(4) | The Restricted Stock Units (and allocable dividend equivalents) vest one-third on November 20, 2019, and the remaining balance vests semi-annually thereafter. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Palkhiwala Akash J. 5775 MOREHOUSE DR. SAN DIEGO, CA 92121-1714 |
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| EVP & Chief Financial Officer |
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Signatures
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By: David Zuckerman, Attorney-in-Fact For: Akash J. Palkhiwala | | 11/21/2019 |
**Signature of Reporting Person | Date |
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