-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, PVu8LKhxsTf9jh+/B6tS3566oYHX3QtlU6lCfsSAALQACJBsucxtjoSgtxAEK6pv GVIynvJu/GQO2RJSoEB+7w== 0000769993-99-000545.txt : 19991109 0000769993-99-000545.hdr.sgml : 19991109 ACCESSION NUMBER: 0000769993-99-000545 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990926 FILED AS OF DATE: 19991108 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: QUALCOMM INC/DE CENTRAL INDEX KEY: 0000804328 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 953685934 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 000-19528 FILM NUMBER: 99743248 BUSINESS ADDRESS: STREET 1: 6455 LUSK BLVD E-141 CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 6195871121 MAIL ADDRESS: STREET 1: 6455 LUSK BLVD E-141 CITY: SAN DIEGO STATE: CA ZIP: 92121 COMPANY DATA: COMPANY CONFORMED NAME: SACERDOTE PETER M CENTRAL INDEX KEY: 0001029642 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2129027202 5 1 ANNUAL STATEMENT/CHANGES IN BENEFICIAL OWNERSHIP UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [ ] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). [ ] Form 3 Holdings Reported [ ] Form 4 Transactions Reported ================================================================================ 1. Name and Address of Reporting Person** Sacerdote, Peter M. - -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Goldman, Sachs & Co. 85 Broad Street - -------------------------------------------------------------------------------- (Street) New York, NY 10004 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol QUALCOMM Incorporated (QCOM) ================================================================================ 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) ================================================================================ 4. Statement for Month/Year FYE September 26, 1999 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ X ] Director [ ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) -------------------------------------------------- ================================================================================ 7. Individual or Joint/Group Reporting (Check applicable line) [ X ] Form Filed by One Reporting Person [ ] Form Filed by More than One Reporting Person ================================================================================
==================================================================================================================================== Table I -- Non-Derivative Securities Acquired, Disposed of, | or Beneficially Owned | ==================================================================================================================================== | | | | | | | | | | |5. |6. | | | | |4. |Amount of |Owner- | | | | |Securities Acquired (A) or |Securities |ship | | | | |Disposed of (D) |Beneficially |Form: |7. | | | |(Instr. 3, 4 and 5) |Owned at end |Direct |Nature of | |2. | 3. |-------------------------------|of Issuer's |(D) or |Indirect | 1. |Transaction |Transaction | | (A) | |Fiscal Year |Indirect |Beneficial| Title of Security |Date |Code | Amount | or | Price |(Instr. 3 |(I) |Ownership | (Instr. 3) |(Month/Day/Year) |(Instr. 8) | | (D) | |and 4) |(Instr.4)|(Instr. 4)| - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | Common Stock | | | | | | 40,000* | D | | ====================================================================================================================================
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 4(b)(v). FORM 5 (continued)
==================================================================================================================================== Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned | (e.g., puts, calls, warrants, options, convertible securities) | ==================================================================================================================================== | | | | | | | | | | | | | | | | | | |9. |10. | | | | | | | | | |Number |Owner-| | | | | | | | | |of |ship | | |2. | | | | | | |Deriv- |of | | |Conver- | | |5. | |7. | |ative |Deriv-|11. | |sion | | |Number of | |Title and Amount | |Secur- |ative |Nature| |or | | |Derivative |6. |of Underlying |8. |ities |Secur-|of | |Exer- | | |Securities |Date |Securities |Price |Bene- |ity: |In- | |cise |3. | |Acquired (A) |Exercisable and |(Instr. 3 and 4) |of |ficially |Direct|direct| |Price |Trans- |4. |or Disposed |Expiration Date |--------------------|Deriv- |Owned |(D) or|Bene- | 1. |of |action |Trans-|of (D) |(Month/Day/Year) | |Amount |ative |at End |In- |ficial| Title of |Deriv- |Date |action|(Instr. 3, |---------------------| |or |Secur- |of |direct|Owner-| Derivative |ative |(Month/ |Code |4 and 5) |Date |Expira- | |Number |ity |Year |(I) |ship | Security |Secur- |Day/ |(Instr|-------------|Exer- |tion | |of |(Instr.|(Instr. |(Instr|(Instr| (Instr. 3) |ity |Year) |8) | (A) |(D) |cisable |Date |Title |Shares |5) |4) |4) |4) | - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified | | | | | | | | | | | | | | Stock Option | | | | | | | | | | | | | | (right to buy)| $34.38* | 2/23/99 | A |20,000*| | 01 | 02/22/09 |Common Stock|20,000*| | 20,000* | D | | - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified | | | | | | | | | | | | | | Stock Option | | | | | | | | | | | | | | (right to buy)| $16.90* | | | | | 02 | 07/26/03 |Common Stock|60,000*| | 60,000* | D | | - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified | | | | | | | | | | | | | | Stock Option | | | | | | | | | | | | | | (right to buy)| $11.13* | | | | | 03 | 02/15/04 |Common Stock|60,000*| | 60,000* | D | | - -----------------------------------------------------------------------------------------------------------------------------------| Non-Qualified | | | | | | | | | | | | | | Stock Option | | | | | | | | | | | | | | (right to buy)| $23.26* | | | | | 04 | 02/09/08 |Common Stock|20,000*| | 20,000* | D | | ====================================================================================================================================
Explanation of Responses: *Share holdings and exercise prices have been adjusted to reflect the Issuer's two-for-one stock split, on May 11, 1999. 01: These options were granted under the Company's 1998 Non-Employee Directors' Stock Option Plan. The options become exercisable in five equal annual installments beginning on January 15, 2000. 02: These options are granted under the Company's Non-Employee Directors' Stock Option Plan. All the options expiring July 26, 2003 are currently exercisable. 03: These options were granted under the Company's Non-Employee Directors' Stock Option Plan. 60% became exercisable in three equal annual installments beginning on February 16, 1996. 40% became exercisable on February 16, 1999. 04: These options were granted under the Company's 1998 Non-Employee Directors' Stock Option Plan. The options become exercisable in five equal annual installments beginning on January 15, 1999. By: s/ Hans L. Reich November 8, 1999 - --------------------------------------------- ----------------------- ***Signature of Reporting Person Date Attorney-in-fact *** 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 provided is insufficient, see Instruction 6 for procedure. Alternatively, this Form is permitted to be submitted to the Commission in electronic format at the option of the Reporting Person pursuant to Rule 101(b)(4) of Regulation S-T. -----END PRIVACY-ENHANCED MESSAGE-----