Statement of Changes in Beneficial Ownership (4)
October 05 2021 - 4:30PM
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
*
THOMPSON JAMES H |
2. Issuer Name and Ticker or Trading Symbol
QUALCOMM INC/DE
[
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) Chief Technology Officer |
(Last)
(First)
(Middle)
5775 MOREHOUSE DR. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/1/2021 |
(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 | 10/1/2021 | | M | | 15686 | A | $0.0 | 153119 (1) | D | |
Common Stock | 10/1/2021 | | M | | 18949 | A | $0.0 | 172068 | D | |
Common Stock | 10/1/2021 | | M | | 11065 | A | $0.0 | 183133 | D | |
Common Stock | 10/1/2021 | | F | | 6006 | D | $128.71 | 177127 | D | |
Common Stock | 10/1/2021 | | F | | 6243 | D | $128.71 | 170884 | D | |
Common Stock | 10/1/2021 | | F | | 8950 | D | $128.71 | 161934 | D | |
Common Stock | | | | | | | | 4539 | I | Childrens' Trust (2) |
Common Stock | | | | | | | | 45453 | I | by Spouse's Trust (3) |
Common Stock | | | | | | | | 45453 | I | by Trust (3) |
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 | (4) | 10/1/2021 | | M | | | 15686.6301 | (5) | 10/1/2021 (5) | Common Stock | 15686.6301 | $0.0 | 0 | D | |
Restricted Stock Unit | (4) | 10/1/2021 | | M | | | 18949.3421 | (6) | 10/1/2022 (6) | Common Stock | 18949.3421 | $0.0 | 18949.3421 | D | |
Restricted Stock Unit | (4) | 10/1/2021 | | M | | | 11065.7681 | (7) | 10/1/2023 (7) | Common Stock | 11065.7681 | $0.0 | 22131.5362 | D | |
Explanation of Responses: |
(1) | Includes 114 and 77 shares acquired under the Company's Employee Stock Purchase Plan on January 31, 2021 and July 31, 2021, respectively. |
(2) | Shares are held in individual trusts for the benefit of Dr. Thompson's children. Dr. Thompson disclaims all beneficial ownership for the shares held in trusts for the benefit of his children. |
(3) | Securities held by Premier Trust, as trustee. |
(4) | Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting. |
(5) | The Restricted Stock Units (and allocable dividend equivalents) vested in equal one-third amounts on October 1, 2019, 2020 and 2021. |
(6) | These Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on October 1, 2020, 2021 and 2022. |
(7) | These Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on October 1, 2021, 2022 and 2023. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
THOMPSON JAMES H 5775 MOREHOUSE DR. SAN DIEGO, CA 92121-1714 |
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| Chief Technology Officer |
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Signatures
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By: David Zuckerman, Attorney-in-Fact For: James H. Thompson | | 10/4/2021 |
**Signature of Reporting Person | Date |
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