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QUALCOMM INC/DE — Director's Dealing 2017
Nov 21, 2017
10546_dirs_2017-11-21_2711bcc7-431e-4ef0-97a3-23d3f10a0207.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: 2017-11-20
Reporting Person: STERLING MICHELLE M (EVP, Human Resources)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-11-20 | Common Stock | M | 6896 | $0.0 | Acquired | 6896 | Indirect |
| 2017-11-20 | Common Stock | M | 3479 | $0.0 | Acquired | 10375 | Indirect |
| 2017-11-20 | Common Stock | M | 2330 | $0.0 | Acquired | 12705 | Indirect |
| 2017-11-20 | Common Stock | M | 1961 | $0.0 | Acquired | 14666 | Indirect |
| 2017-11-20 | Common Stock | F | 737 | $66.47 | Disposed | 13929 | Indirect |
| 2017-11-20 | Common Stock | F | 1308 | $66.47 | Disposed | 12621 | Indirect |
| 2017-11-20 | Common Stock | F | 1182 | $66.47 | Disposed | 11439 | Indirect |
| 2017-11-20 | Common Stock | F | 3599 | $66.47 | Disposed | 7840 | Indirect |
| 2017-11-21 | Common Stock | S | 4340 | $66.4312 | Disposed | 3500 | Indirect |
| 2017-11-21 | Common Stock | S | 3500 | $66.726 | Disposed | 0 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-11-20 | Restricted Stock Unit | $ | M | 1961.4716 | Disposed | 2017-11-20 | Common Stock (1961.4716) | Direct |
| 2017-11-20 | Restricted Stock Unit | $ | M | 3479.5759 | Disposed | 2018-11-20 | Common Stock (3479.5759) | Direct |
| 2017-11-20 | Restricted Stock Unit | $ | M | 2330.863 | Disposed | 2018-11-20 | Common Stock (2330.863) | Direct |
| 2017-11-20 | Restricted Stock Unit | $ | M | 6896.2431 | Disposed | 2019-11-20 | Common Stock (6896.2431) | 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 $65.6250 to $66.6201. The filer hereby agrees to provide, upon request, full information regarding the number of shares sold at each separate price.
F4: The sale prices for this transaction ranged from $66.64 to $66.86. The filer hereby agrees to provide, upon request, full information regarding the number of shares sold at each separate price.
F5: Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting.
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.
F8: The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2017, 2018 and 2019.