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QUALCOMM INC/DE — Director's Dealing 2016
Nov 21, 2016
10546_dirs_2016-11-21_d1aa4216-e16b-475b-9be3-7b8349058ce8.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: 2016-11-20
Reporting Person: STERLING MICHELLE M (EVP, Human Resources)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-11-20 | Common Stock | M | 3349 | $0.0 | Acquired | 11245 | Indirect |
| 2016-11-20 | Common Stock | M | 2243 | $0.0 | Acquired | 13488 | Indirect |
| 2016-11-20 | Common Stock | M | 1888 | $0.0 | Acquired | 15376 | Indirect |
| 2016-11-20 | Common Stock | M | 1613 | $0.0 | Acquired | 16989 | Indirect |
| 2016-11-20 | Common Stock | F | 4205 | $67.31 | Disposed | 12784 | Indirect |
| 2016-11-21 | Common Stock | S | 9810 | $66.5258 | Disposed | 2974 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-11-20 | Restricted Stock Unit | $ | M | 1613.7136 | Disposed | 2016-11-20 | Common Stock (1613.7136) | Direct |
| 2016-11-20 | Restricted Stock Unit | $ | M | 1888.0206 | Disposed | 2017-11-20 | Common Stock (1888.0206) | Direct |
| 2016-11-20 | Restricted Stock Unit | $ | M | 3349.2764 | Disposed | 2018-11-20 | Common Stock (3349.2764) | Direct |
| 2016-11-20 | Restricted Stock Unit | $ | M | 2243.5792 | Disposed | 2018-11-20 | Common Stock (2243.5792) | Direct |
Footnotes
F1: Securities held by Michelle Marie Sterling, TTEE of the Michelle Marie Sterling Trust DTD 11/26/2008.
F2: The transaction was conducted under a Rule 10b5-1 trading plan.
F3: The sale prices for this transaction ranged from $66.20 to $67.11. The filer hereby agrees to provide, upon request, full information regarding the number of shares sold at each separate price.
F4: Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting.
F5: The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2014, 2015 and 2016.
F6: The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2015, 2016 and 2017.
F7: The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2016, 2017 and 2018.