Initial Statement of Beneficial Ownership (3)
27 Août 2019 - 10:42PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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0.5
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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
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Palkhiwala Akash J. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
8/23/2019
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3. Issuer Name and Ticker or Trading Symbol
QUALCOMM INC/DE [QCOM]
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(Last)
(First)
(Middle)
5775 MOREHOUSE DR. |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) SVP & Interim CFO / |
(Street)
SAN DIEGO, CA 92121-1714
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 18462 | 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. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Phantom Stock Unit (1) | (2) | (3) | Common Stock | 2509.58 | $0.0 | I | by Grantor Trust (1) |
Restricted Stock Unit | (4) | 11/20/2019 (4) | Common Stock | 1901.282 | (5) | D | |
Restricted Stock Unit | (6) | 11/20/2020 (6) | Common Stock | 7143.7521 | (5) | D | |
Restricted Stock Unit | (7) | 5/20/2021 (7) | Common Stock | 9101.2725 | (5) | D | |
Restricted Stock Unit | (8) | 11/20/2021 (8) | Common Stock | 13518.9215 | (5) | D | |
Explanation of Responses: |
(1) | The common stock issued under the terms of the Company's Non-Qualified Deferred Compensation Plan, a tax conditioned plan, is exempt under Rule 16b-3. The shares are held in a grantor trust and stock is the only permissible form of distribution under the Plan. |
(2) | The rights awarded under the Company's Non-Qualified Deferred Compensation Plan will be eligible for distribution upon termination and vest 100% after 2 years of continuous service with the Company. |
(3) | The rights awarded under the Company's Non-Qualified Deferred Compensation Plan will be eligible for distribution upon termination. |
(4) | The Restricted Stock Units (and allocable dividend equivalents) vested one-third on November 20, 2017, and the remaining balance vests semi-annually thereafter. |
(5) | Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting. |
(6) | The Restricted Stock Units (and allocable dividend equivalents) vested one-third on November 20, 2018, and the remaining balance vests semi-annually thereafter. |
(7) | The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on May 20, 2019, 2020 and 2021. |
(8) | 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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| SVP & Interim CFO |
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Signatures
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By: David Zuckerman, Attorney-in-Fact For: Akash J. Palkhiwala | | 8/26/2019 |
**Signature of Reporting Person | Date |
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