|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A Preferred Stock | (2) | 04/23/2019 | C | 3,333,332 | (2) | (2) | Class B Common Stock | 3,333,332 | (2) | 0 | D | ||||
Class B Common Stock | (1) | 04/23/2019 | C | 3,333,332 | (1) | (1) | Class A Common Stock | 3,333,332 | (1) | 3,347,884 | I (3) | See Footnote (3) | |||
Series C Preferred Stock | (2) | 04/23/2019 | C | 543,176 | (2) | (2) | Class B Common Stock | 543,176 | (2) | 0 | D | ||||
Class B Common Stock | (1) | 04/23/2019 | C | 543,176 | (1) | (1) | Class A Common Stock | 543,176 | (1) | 3,891,060 | I (3) | See Footnote (3) | |||
Series D Preferred Stock | (2) | 04/23/2019 | C | 353,324 | (2) | (2) | Class B Common Stock | 353,324 | (2) | 0 | D | ||||
Class B Common Stock | (1) | 04/23/2019 | C | 353,324 | (1) | (1) | Class A Common Stock | 353,324 | (1) | 4,244,384 | I (3) | See Footnote (3) | |||
Class B Common Stock | (1) | 04/23/2019 | C | 848,877 | (1) | (1) | Class A Common Stock | 848,877 | (1) | 3,395,507 | I (3) | See Footnote (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
QUALCOMM INC/DE 5775 MOREHOUSE DRIVE SAN DIEGO, CA 92121 |
X |
QUALCOMM Incorporated, By: /s/ Adam Schwenker, Name: Adam Schwenker, Title: Assistant Secretary | 04/25/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) the occurrence of certain other events as specified in the Issuer's amended and restated certificate of incorporation. |
(2) | Each share of preferred stock automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. |
(3) | 14,552 shares are held by Qualcomm Global Trading Pte. Ltd., an indirect, wholly-owned subsidiary of the Reporting Person. The remaining shares are held directly by the Reporting Person. |