Polek Erin L's Form 4 filing
Qualcomm Inc (QCOM) · filed Nov 23, 2021
- Accession no.
- 0001888316-21-000010
- Filed
- Nov 23, 2021
- Trade date
- Nov 20-22, 2021
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 3 derivative transactions. Open-market sales total $515.3K. It was filed 3 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Polek Erin LCIK 0001760245 | Officer (SVP, Controller & CAO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 20, 2021 | Common Stock | MOption exerciseAcquired | +1,435 | $0.00 | $0 | 1,435 | Direct | |
| Nov 20, 2021 | Common Stock | MOption exerciseAcquired | +1,397 | $0.00 | $0 | 2,832 | Direct | |
| Nov 20, 2021 | Common Stock | MOption exerciseAcquired | +1,816 | $0.00 | $0 | 4,648 | Direct | |
| Nov 20, 2021 | Common Stock | FTax withholdingDisposed | −821 | $185.00 | −$151,885 | 3,827 | Direct | |
| Nov 20, 2021 | Common Stock | FTax withholdingDisposed | −484 | $185.00 | −$89,540 | 3,343 | Direct | |
| Nov 20, 2021 | Common Stock | FTax withholdingDisposed | −496 | $185.00 | −$91,760 | 2,847 | Direct | |
| Nov 22, 2021 | Common Stock | SSaleDisposed | −2,847 | $180.98 | −$515,250.06 | 0 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 20, 2021 | Common Stock | MOption exerciseDisposed | −1,435.87 | $0.00 | $0 | 0 | Direct | |
| Nov 20, 2021 | Common Stock | MOption exerciseDisposed | −1,397.01 | $0.00 | $0 | 2,792.97 | Direct | |
| Nov 20, 2021 | Common Stock | MOption exerciseDisposed | −1,816.94 | $0.00 | $0 | 3,634.89 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.