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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 |
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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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Unit | (1) | 05/01/2015 | M | 78,111 | (10) | (10) | Common Stock | 78,111 | (1) | 156,221 | D | ||||
Restricted Stock Unit | (1) | 05/01/2015 | M | 81,438 | (11) | (11) | Common Stock | 81,438 | (1) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
AHRENDTS ANGELA J 1 INFINITE LOOP CUPERTINO, CA 95014 |
Senior Vice President |
/s/ Gene Levoff, Attorney-in-fact for Angela J. Ahrendts | 05/05/2015 | |
**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 restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date. |
(2) | Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of restricted stock units. |
(3) | This transaction was made pursuant to a Rule10b5-1 trading plan adopted by the reporting person on November 21, 2014. |
(4) | This transaction was executed in multiple trades at prices ranging from $128.29 to $129.27; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the Registrant, or a security holder of the Registrant. |
(5) | This transaction was executed in multiple trades at prices ranging from $129.29 to $130.28; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the Registrant, or a security holder of the Registrant. |
(6) | This transaction was executed in multiple trades at prices ranging from $130.30 to $130.47; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the Registrant, or a security holder of the Registrant. |
(7) | This transaction was executed in multiple trades at prices ranging from $125.88 to $126.86; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the Registrant, or a security holder of the Registrant. |
(8) | This transaction was executed in multiple trades at prices ranging from $126.88 to $127.83; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the Registrant, or a security holder of the Registrant. |
(9) | This transaction was executed in multiple trades at prices ranging from $127.88 to $128.32; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the Registrant, or a security holder of the Registrant. |
(10) | This award was granted on May 1, 2014. One-third of the restricted stock units subject to the award vested on May 1, 2015, and one-third of the restricted stock units are scheduled to vest on each of May 1, 2016 and May 1, 2017. |
(11) | This award was granted on May 1, 2014. Vesting of these restricted stock units depended on Apple Inc.'s relative total shareholder return from May 1, 2014 through and including April 30, 2015. 200% of the target number of units vested on May 1, 2015 based on actual performance. |