Item 15. Exhibits and Financial Statement Schedules

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Item 15. Exhibits and Financial Statement Schedules

The following documents are filed as part of this report:

(a) Financial Statements:

Page
Number
(1) Report of Independent Registered Public Accounting FirmF-1
Consolidated Balance Sheets at September 29, 2019 and September 30, 2018F-5
Consolidated Statements of Operations for Fiscal 2019, 2018 and 2017F-6
Consolidated Statements of Comprehensive Income (Loss) for Fiscal 2019, 2018 and 2017F-7
Consolidated Statements of Cash Flows for Fiscal 2019, 2018 and 2017F-8
Consolidated Statements of Stockholders’ Equity for Fiscal 2019, 2018 and 2017F-9
Notes to Consolidated Financial StatementsF-10
(2) Schedule II - Valuation and Qualifying Accounts for Fiscal 2019, 2018 and 2017S-1

Financial statement schedules other than those listed above have been omitted because they are either not required, not applicable or the information is otherwise included in the notes to the consolidated financial statements.

(b) Exhibits

Exhibit NumberExhibit DescriptionFormDate of First FilingExhibit NumberFiled Herewith
2.1Master Transaction Agreement, dated January 13, 2016, by and among Qualcomm Global Trading Pte. Ltd., each other Purchaser Group member, TDK Japan, each other Seller Group member, and, solely for purposes of Section 10.9 thereof, QUALCOMM Incorporated. (1)8-K1/13/20162.1
2.2Amendment #1, dated December 20, 2016, to Master Transaction Agreement, dated January 13, 2016, by and among Qualcomm Global Trading Pte. Ltd., each other Purchaser Group member, TDK Japan, each other Seller Group member, and, solely for purposes of Section 10.9 thereof, QUALCOMM Incorporated. (1)10-Q1/25/20172.3
2.3Amendment #2, dated January 19, 2017, to Master Transaction Agreement, dated January 13, 2016, by and among Qualcomm Global Trading Pte. Ltd., each other Purchaser Group member, TDK Japan, each other Seller Group member, and, solely for purposes of Section 10.9 thereof, QUALCOMM Incorporated. (1)10-Q1/25/20172.4
2.4Amendment #3, dated February 3, 2017, to Master Transaction Agreement, dated January 13, 2016, by and among Qualcomm Global Trading Pte. Ltd., each other Purchaser Group member, TDK Japan, each other Seller Group member, and, solely for purposes of Section 10.9 thereof, QUALCOMM Incorporated. (1)10-Q4/19/20172.6
3.1Amended and Restated Certificate of Incorporation.8-K4/20/20183.1
3.2Amended and Restated Bylaws.8-K7/17/20183.1
4.1Indenture, dated May 20, 2015, between the Company and U.S. Bank National Association, as trustee.8-K5/21/20154.1
4.2Officers’ Certificate, dated May 20, 2015, for the Floating Rate Notes due 2018, the Floating Rate Notes due 2020, the 1.400% Notes due 2018, the 2.250% Notes due 2020, the 3.000% Notes due 2022, the 3.450% Notes due 2025, the 4.650% Notes due 2035 and the 4.800% Notes due 2045.8-K5/21/20154.2
4.3Form of Floating Rate Notes due 2020.8-K5/21/20154.4
4.4Form of 2.250% Notes due 2020.8-K5/21/20154.6
4.5Form of 3.000% Notes due 2022.8-K5/21/20154.7
4.6Form of 3.450% Notes due 2025.8-K5/21/20154.8
4.7Form of 4.650% Notes due 2035.8-K5/21/20154.9
4.8Form of 4.800% Notes due 2045.8-K5/21/20154.10
4.9Officers’ Certificate, dated May 26, 2017, for the Floating Rate Notes due 2019, the Floating Rate Notes due 2020, the Floating Rate Notes due 2023, the 1.850% Notes due 2019, the 2.100% Notes due 2020, the 2.600% Notes due 2023, the 2.900% Notes due 2024, the 3.250% Notes due 2027 and the 4.300% Notes due 2047.8-K5/31/20174.2
4.10Form of Floating Rate Notes due 2023.8-K5/31/20174.5
4.11Form of 2.600% Notes due 2023.8-K5/31/20174.8
4.12Form of 2.900% Notes due 2024.8-K5/31/20174.9
4.13Form of 3.250% Notes due 2027.8-K5/31/20174.10
Exhibit NumberExhibit DescriptionFormDate of First FilingExhibit NumberFiled Herewith
4.14Form of 4.300% Notes due 2047.8-K5/31/20174.11
4.15Description of the Company’s securities.X
10.1Form of Indemnity Agreement between the Company and its directors and officers. (2)10-K11/4/201510.1
10.2Form of Grant Notice and Stock Option Agreement under the 2006 Long-Term Incentive Plan. (2)10-K11/5/200910.84
10.3Form of Grant Notices and Global Employee Restricted Stock Unit Agreement under the 2006 Long-Term Incentive Plan. (2)10-K11/7/201210.105
10.42006 Long-Term Incentive Plan, as amended and restated. (2)10-Q4/24/201310.112
10.5Form of Grant Notices and Non-Employee Director Deferred Stock Unit Agreements under the 2006 Long-Term Incentive Plan for non-employee directors residing in the United States and Spain. (2)10-K11/6/201310.119
10.6Amendment to 2006 Long-Term Incentive Plan, as amended and restated. (2)10-Q1/28/201510.126
10.72016 Long-Term Incentive Plan. (2)DEF 14A1/21/2016Appendix 5
10.8Form of Non-Employee Director Deferred Stock Unit Grant Notices and Non-Employee Director Deferred Stock Unit Agreements under the 2016 Long-Term Incentive Plan for non-employee directors residing in the United States. (2)10-Q4/20/201610.32
10.9Form of Non-Employee Director Deferred Stock Unit Grant Notices and Non-Employee Director Deferred Stock Unit Agreements under the 2016 Long-Term Incentive Plan for non-employee directors residing in Spain. (2)10-Q4/20/201610.33
10.10Form of Non-Employee Director Deferred Stock Unit Grant Notices and Non-Employee Director Deferred Stock Unit Agreements under the 2016 Long-Term Incentive Plan for non-employee directors residing in Singapore. (2)10-Q4/20/201610.34
10.11Form of Executive Restricted Stock Unit Grant Notice and Executive Restricted Stock Unit Agreement under the 2016 Long-Term Incentive Plan. (2)10-K11/2/201610.36
10.12Form of Executive Performance Stock Unit Award Grant Notice and Executive Performance Stock Unit Award Agreement under the 2016 Long-Term Incentive Plan. (2)10-K11/2/201610.37
10.13Amended and Restated Credit Agreement among QUALCOMM Incorporated, the lenders party thereto and Bank of America, N.A., as Administrative Agent, dated as of November 8, 2016.8-K11/9/201610.2
10.14Form of Executive Performance Stock Unit Award Grant Notice and Executive Performance Stock Unit Award Agreement under the 2016 Long-Term Incentive Plan, which includes a September 25, 2017 to September 27, 2020 performance period. (2)10-K11/1/201710.40
10.15Amendment to the Qualcomm Incorporated 2006 and 2016 Long-Term Incentive Plans, as amended and restated. (2)8-K12/22/201710.2
10.16Qualcomm Incorporated Non-Executive Officer Change in Control Severance Plan.10-Q1/31/201810.42
Exhibit NumberExhibit DescriptionFormDate of First FilingExhibit NumberFiled Herewith
10.17Form of 2016 Long-Term Incentive Plan Non-Employee Director Deferred Stock Unit Grant Notice and Non-Employee Director Deferred Stock Unit Agreement for Non-Employee Directors in Singapore. (2)10-Q4/25/201810.58
10.18Form of 2016 Long-Term Incentive Plan Non-Employee Director Deferred Stock Unit Grant Notice and Non-Employee Director Deferred Stock Unit Agreement for Non-Employee Directors in Spain. (2)10-Q4/25/201810.59
10.19Form of 2016 Long-Term Incentive Plan Non-Employee Director Deferred Stock Unit Grant Notice and Non-Employee Director Deferred Stock Unit Agreement. (2)10-Q4/25/201810.60
10.20Amended and Restated QUALCOMM Incorporated 2001 Employee Stock Purchase Plan, as amended. (2)10-Q4/25/201810.62
10.21Qualcomm Incorporated Executive Officer Change in Control Severance Plan. (2)8-K5/25/201810.1
10.22Qualcomm Incorporated Executive Officer Severance Plan. (2)8-K9/21/201810.1
10.23Qualcomm Incorporated 2019 Director Compensation Plan. (2)10-K11/7/201810.58
10.24Qualcomm Incorporated 2016 Long-Term Incentive Plan CEO Performance Stock Option Grant Notice and CEO Performance Stock Option Agreement. (2)10-K11/7/201810.59
10.25Form of Qualcomm Incorporated 2016 Long-Term Incentive Plan Executive Performance Stock Unit Award Grant Notice and Executive Performance Stock Unit Award Agreement. (2)10-K11/7/201810.60
10.26Form of Qualcomm Incorporated 2016 Long-Term Incentive Plan Executive Restricted Stock Unit Grant Notice and Executive Restricted Stock Unit Agreement. (2)10-K11/7/201810.61
10.27Form of 2019 Annual Cash Incentive Plan Performance Unit Agreement. (2)10-Q1/30/201910.62
10.28QUALCOMM Incorporated Non-Qualified Deferred Compensation Plan, as amended and restated effective February 13, 2019. (2)10-Q5/1/201910.7
10.29Form of Qualcomm Incorporated 2016 Long-Term Incentive Plan Executive Performance Stock Unit Award RTSR Shares Grant Notice and ROIC Shares Grant Notice, and Qualcomm Incorporated 2016 Long-Term Incentive Plan Executive Performance Stock Unit Award Agreement (September 30, 2019 - September 25, 2022 Performance Period). (2)X
10.30Qualcomm Incorporated 2020 Director Compensation Plan. (2)X
21Subsidiaries of the Company.X
23.1Consent of Independent Registered Public Accounting Firm.X
31.1Certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 for Steve Mollenkopf.X
31.2Certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 for Akash Palkhiwala.X
32.1Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, for Steve Mollenkopf.X
Exhibit NumberExhibit DescriptionFormDate of First FilingExhibit NumberFiled Herewith
32.2Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, for Akash Palkhiwala.X
101.INSInline XBRL Instance Document.X
101.SCHInline XBRL Taxonomy Extension Schema.X
101.CALInline XBRL Taxonomy Extension Calculation Linkbase.X
101.LABInline XBRL Taxonomy Extension Labels Linkbase.X
101.PREInline XBRL Taxonomy Extension Presentation Linkbase.X
101.DEFInline XBRL Taxonomy Extension Definition Linkbase.X
104Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101).
(1)We shall furnish supplementally a copy of any omitted schedule to the Commission upon request.
(2)Indicates management contract or compensatory plan or arrangement required to be identified pursuant to Item 15(a).

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