Donald J. Rosenberg - 01 Oct 2021 Form 4 Insider Report for QUALCOMM INC/DE (QCOM)

Role
General Counsel
Signature
By: David Zuckerman, Attorney-in-Fact For: Donald J. Rosenberg
Issuer symbol
QCOM
Transactions as of
01 Oct 2021
Net transactions value
-$2,877,873
Form type
4
Filing time
05 Oct 2021, 16:29:35 UTC
Previous filing
20 May 2021
Next filing
13 May 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction QCOM Common Stock Options Exercise $0 +10,084 +5280% $0.000000 10,275 01 Oct 2021 Direct F1
transaction QCOM Common Stock Options Exercise $0 +9,474 +92% $0.000000 19,749 01 Oct 2021 Direct
transaction QCOM Common Stock Options Exercise $0 +5,532 +28% $0.000000 25,281 01 Oct 2021 Direct
transaction QCOM Common Stock Tax liability $466,702 -3,626 -14% $128.71 21,655 01 Oct 2021 Direct
transaction QCOM Common Stock Tax liability $575,977 -4,475 -21% $128.71 17,180 01 Oct 2021 Direct
transaction QCOM Common Stock Tax liability $386,516 -3,003 -17% $128.71 14,177 01 Oct 2021 Direct
transaction QCOM Common Stock Sale $1,448,677 -11,457 -81% $126.44 2,720 04 Oct 2021 Direct F2, F3
holding QCOM Common Stock 12,946 01 Oct 2021 by Trust F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction QCOM Restricted Stock Unit Options Exercise $0 -10,085 -100% $0.000000* 0 01 Oct 2021 Common Stock 10,085 Direct F5, F6
transaction QCOM Restricted Stock Unit Options Exercise $0 -9,475 -50% $0.000000 9,475 01 Oct 2021 Common Stock 9,475 Direct F5, F7
transaction QCOM Restricted Stock Unit Options Exercise $0 -5,532 -33% $0.000000 11,067 01 Oct 2021 Common Stock 5,532 Direct F5, F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 114 and 77 shares acquired under the Company's Employee Stock Purchase Plan on January 31, 2021 and July 31, 2021, respectively.
F2 The transaction was conducted under a Rule 10b5-1 trading plan.
F3 The sale prices for this transaction ranged from $126.0267 to $126.6100. The filer hereby agrees to provide, upon request, full information regarding the number of shares sold at each separate price.
F4 Securities held by Donald J. Rosenberg and Stacy K. Rosenberg, Trustees of the Rosenberg Family Trust dated October 18, 2011.
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) vested in equal one-third amounts on October 1, 2019, 2020 and 2021.
F7 These Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on October 1, 2020, 2021 and 2022.
F8 These Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on October 1, 2021, 2022 and 2023.