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QUALCOMM INC/DE — Director's Dealing 2013
Jan 3, 2013
10546_dirs_2013-01-03_601a1b70-fde5-49f4-990c-9456e33713b3.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: QUALCOMM INC/DE (QCOM)
CIK: 0000804328
Period of Report: 2012-12-31
Reporting Person: LEDERER JAMES P (Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-01-02 | Common Stock | M | 5503.0 | $44.75 | Acquired | 31926.9549 | Direct |
| 2013-01-02 | Common Stock | S | 5503.0 | $63.58 | Disposed | 26423.9549 | Direct |
| 2013-01-02 | Common Stock | M | 2500.0 | $35.66 | Acquired | 28923.9549 | Direct |
| 2013-01-02 | Common Stock | S | 2500.0 | $63.58 | Disposed | 26423.9549 | Direct |
| 2013-01-02 | Common Stock | M | 2500.0 | $35.66 | Acquired | 28923.9549 | Direct |
| 2013-01-02 | Common Stock | S | 2500.0 | $63.58 | Disposed | 26423.9549 | Direct |
| 2013-01-02 | Common Stock | M | 4166.0 | $52.87 | Acquired | 30589.9549 | Direct |
| 2013-01-02 | Common Stock | S | 4166.0 | $63.58 | Disposed | 26423.9549 | Direct |
| 2013-01-02 | Common Stock | M | 1000.0 | $47.35 | Acquired | 27423.9549 | Direct |
| 2013-01-02 | Common Stock | S | 1000.0 | $63.58 | Disposed | 26423.9549 | Direct |
| 2013-01-02 | Common Stock | M | 3250.0 | $43.24 | Acquired | 29673.9549 | Direct |
| 2013-01-02 | Common Stock | S | 3250.0 | $63.58 | Disposed | 26423.9549 | Direct |
| 2013-01-02 | Common Stock | M | 500.0 | $41.33 | Acquired | 26923.9549 | Direct |
| 2013-01-02 | Common Stock | S | 500.0 | $63.58 | Disposed | 26423.9549 | Direct |
| 2013-01-02 | Common Stock | M | 500.0 | $41.33 | Acquired | 26923.9549 | Direct |
| 2013-01-02 | Common Stock | S | 500.0 | $63.58 | Disposed | 26423.9549 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-01-02 | Non-Qualified Stock Option (right to buy) | $35.66 | M | 2500.0 | Disposed | 2018-11-06 | Common Stock (2500.0) | Direct |
| 2013-01-02 | Non-Qualified Stock Option (right to buy) | $35.66 | M | 2500.0 | Disposed | 2018-11-06 | Common Stock (2500.0) | Direct |
| 2013-01-02 | Non-Qualified Stock Option (right to buy) | $41.33 | M | 500.0 | Disposed | 2017-10-25 | Common Stock (500.0) | Direct |
| 2013-01-02 | Non-Qualified Stock Option (right to buy) | $41.33 | M | 500.0 | Disposed | 2017-10-25 | Common Stock (500.0) | Direct |
| 2013-01-02 | Non-Qualified Stock Option (right to buy) | $43.24 | M | 3250.0 | Disposed | 2018-04-24 | Common Stock (3250.0) | Direct |
| 2013-01-02 | Non-Qualified Stock Option (right to buy) | $44.75 | M | 5503.0 | Disposed | 2019-11-08 | Common Stock (5503.0) | Direct |
| 2013-01-02 | Non-Qualified Stock Option (right to buy) | $47.35 | M | 1000.0 | Disposed | 2018-05-18 | Common Stock (1000.0) | Direct |
| 2013-01-02 | Non-Qualified Stock Option (right to buy) | $52.87 | M | 4166.0 | Disposed | 2018-08-03 | Common Stock (4166.0) | Direct |
| 2012-12-31 | Phantom Stock Unit | $1.0 | A | 1351.0 | Acquired | Common Stock (1351.0) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 50.0 | Indirect |
| Common Stock | 100.0 | Indirect |
Footnotes
F1: The transaction was conducted under a 10b5-1 Plan, as defined under the Securities Exchange Act of 1934, as amended.
F2: Securities held by Mitchell J. Lederer (UTMA/CA) and James P. Lederer (C/F).
F3: Securities held in two separate Joint Accounts: 50 shares are held by Kyle R. Lederer and James P. Lederer (JTWROS) and 50 shares are held by Brian K. Lederer and James P. Lederer (JTWROS).
F4: The options vest 10% on the six month anniversary of the date of grant and the remaining balance vests monthly thereafter. The option is fully vested five years after the date of grant.
F5: Employee stock options granted under the Company's 2006 Long-Term Incentive Plan. The options vest on each six month date after the date of grant as to 1/8th of the total shares granted until fully vested four years from the date of grant.
F6: The common stock issued under the terms of the Company's Executive Retirement Matching Contribution Plan, a tax conditioned plan, is exempt under Rule 16b-3. The shares are held in a grantor trust and stock is the only permissable form of distribution under the Plan.
F7: The rights awarded under the Company's Executive Retirement Matching Contribution Plan will be eligible for distribution upon termination and vest 100% after 2 years of continuous service with the Company.
F8: The rights awarded under the Company's Executive Retirement Matching Contribution Plan will be eligible for distribution upon termination.