FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 10/01/2012 |
3. Issuer Name and Ticker or Trading Symbol
QUALCOMM INC/DE [ QCOM ] |
|||||||||||||
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
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 | 5,978 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: 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 | ||||
Non-Qualified Stock Option (right to buy) | (1) | 10/23/2018 | Common Stock | 12,834 | $34.99 | D | |
Non-Qualified Stock Option (right to buy) | (2) | 10/22/2019 | Common Stock | 32,000 | $40.7 | D | |
Non-Qualified Stock Option (right to buy) | (1) | 10/25/2017 | Common Stock | 60,000 | $41.33 | D | |
Non-Qualified Stock Option (right to buy) | (1) | 04/23/2019 | Common Stock | 40,000 | $41.36 | D | |
Non-Qualified Stock Option (right to buy) | (1) | 04/24/2018 | Common Stock | 62,000 | $43.24 | D | |
Non-Qualified Stock Option (right to buy) | (1) | 04/26/2017 | Common Stock | 35,000 | $44.63 | D | |
Non-Qualified Stock Option (right to buy) | (1) | 04/13/2016 | Common Stock | 35,000 | $51.48 | D | |
Non-Qualified Stock Option (right to buy) | (3) | 07/05/2019 | Common Stock | 51,000 | $55.31 | D | |
Phantom Stock Unit(4) | (5) | (6) | Common Stock | 15,957.944 | $1 | I | by Grantor Trust(4) |
Restricted Stock Unit | (7) | 05/20/2020 | Common Stock | 10,939.0295 | $1 | D | |
Restricted Stock Unit | (8) | 11/20/2020 | Common Stock | 10,317.1758 | $1 | D | |
Restricted Stock Unit | (8) | 05/20/2021 | Common Stock | 10,241.2236 | $1 | D | |
Restricted Stock Unit | (8) | 09/27/2021 | Common Stock | 12,188.7924 | $1 | D | |
Restricted Stock Unit | (8) | 03/27/2022 | Common Stock | 10,084.151 | $1 | D | |
Restricted Stock Unit | (8) | 08/19/2022 | Common Stock | 11,989.906 | $1 | D | |
Restricted Stock Unit | (8) | 09/29/2022 | Common Stock | 34,354 | $1 | D |
Explanation of Responses: |
1. The options vest 10% on the six month anniversary of the date of grant and the remaining balance vests monthly thereafter, adjusted for any previously exercised options prior to becoming an affiliate. The option is fully vested five years after the date of grant. |
2. The options vest on each six month date after the date of grant as to 1/8th of the total shares granted, adjusted for any previously exercised options prior to becoming an affiliate. The option is fully vested four years after the date of grant. |
3. The options vest on the first anniversary of the date of grant as to 1/4th of the total shares granted, adjusted for any previously exercised options prior to becoming an affiliate. The option is fully vested four years after the date of grant. |
4. 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. |
5. The rights awarded under the Company's Executive Retirement Matching Contribution Plan will be eligible for distribution upon termination and vest according to the following schedule: 100% at age 65 with acceleration provisions (1) at the rate of 25% per year for each subsequent year of participation, (2) after the individual reaches age 61, or (3) if they have more than 10 years of service. |
6. The rights awarded under the Company's Executive Retirement Matching Contribution Plan will be eligible for distribution upon termination. |
7. These shares are represented by restricted stock units and unvested dividend equivalents. The units vest 100% on the third anniversary of the date of grant. Upon vesting, the restricted stock units will be paid out in whole shares of common stock. |
8. These shares are represented by restricted stock units and unvested dividend equivalents. The units vest annually over three years. Upon vesting, the restricted stock units will be paid out in whole shares of common stock. |
By: Noreen E. Burns, Attorney-in-Fact For: James H. Thompson | 10/10/2012 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |