Statement of Changes in Beneficial Ownership (4)
24 Agosto 2018 - 12:35AM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
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
*
THOMPSON JAMES H
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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)
EVP, Engineering & CTO
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(Last)
(First)
(Middle)
5775 MOREHOUSE DR.
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3. Date of Earliest Transaction
(MM/DD/YYYY)
8/10/2018
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(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
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8/2/2018
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G
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V
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1314
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D
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$0.0
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97967
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D
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Common Stock
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8/9/2018
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G
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V
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90
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D
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$0.0
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97877
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D
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Common Stock
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8/10/2018
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J
(1)
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45453
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D
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(1)
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52424
(2)
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D
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Common Stock
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8/10/2018
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J
(3)
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45453
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D
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(3)
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6971
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D
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Common Stock
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8/2/2018
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G
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V
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1314
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A
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$0.0
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4449
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I
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Childrens' Trust
(4)
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Common Stock
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8/9/2018
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G
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V
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90
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A
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$0.0
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4539
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I
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Childrens' Trust
(4)
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Common Stock
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8/10/2018
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J
(1)
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45453
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A
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(1)
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45453
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I
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by Spouse
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Common Stock
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8/10/2018
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J
(5)
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45453
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D
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(5)
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0
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I
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by Spouse
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Common Stock
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8/10/2018
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J
(5)
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45453
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A
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(5)
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45453
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I
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by Spouse's Trust
(6)
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Common Stock
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8/10/2018
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J
(3)
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45453
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A
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(3)
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45453
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I
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by Trust
(6)
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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Dr. Thompson and his wife transmuted their community property interest in 90,906 shares to 45,453 shares as the separate property of Dr. Thompson and 45,453 shares as the separate property of his wife.
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(2)
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Includes 187 shares acquired under the Company's Employee Stock Purchase Plan on July 31, 2018.
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(3)
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In connection with an estate tax planning transaction, Dr. Thompson transferred 45,453 shares to a grantor trust which issued an unsecured promissory note to Dr. Thompson. Dr. Thompson, his spouse and children are the beneficiaries of the grantor trust.
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(4)
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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.
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(5)
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In connection with an estate planning transaction, Dr. Thompson's spouse transferred 45,453 shares to a separate grantor trust which issued an unsecured promissory note to the spouse. Dr. Thompson, his spouse and their children are beneficiaries of the grantor trust.
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(6)
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Securities held by Premier Trust, as trustee.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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THOMPSON JAMES H
5775 MOREHOUSE DR.
SAN DIEGO, CA 92121-1714
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EVP, Engineering & CTO
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Signatures
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By: David Zuckerman, Attorney For: James H. Thompson
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8/23/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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