UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
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 of Derivative Security: 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 | ||||
Series A Preferred Stock | Â (1) | Â (1) | Class B Common Stock (2) | 3,333,332 | $ (1) | D | Â |
Series C Preferred Stock | Â (1) | Â (1) | Class B Common Stock (2) | 543,176 | $ (1) | D | Â |
Series D Preferred Stock | Â (1) | Â (1) | Class B Common Stock (2) | 353,324 | $ (1) | D | Â |
Class B Common Stock | Â (2) | Â (2) | Class A Common Stock (2) | 14,552 | $ (2) | I | 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 | 04/17/2019 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Each share of preferred stock shall automatically convert into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and has no expiration date. |
(2) | 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. Following the completion of the Issuer's initial public offering of Class A Common Stock, 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. |
(3) | Shares are held by Qualcomm Global Trading Pte. Ltd., an indirect, wholly-owned subsidiary of the Reporting Person. |