Statement of Changes in Beneficial Ownership (4)
April 17 2020 - 6:32PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
O'BRIEN DEIRDRE |
2. Issuer Name and Ticker or Trading Symbol
Apple Inc.
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AAPL
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Senior Vice President |
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(Last)
(First)
(Middle)
ONE APPLE PARK WAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/15/2020 |
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(Street)
CUPERTINO, CA 95014
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 4/15/2020 | | M | | 16634 | A | (1) | 50606 (2) | D | |
| Common Stock (3) | 4/15/2020 | | F | | 7497 | D | $284.43 | 43109 | D | |
| Common Stock (4) | 4/16/2020 | | S | | 2278 | D | $283.82 (5) | 40831 | D | |
| Common Stock (4) | 4/16/2020 | | S | | 2851 | D | $284.52 (6) | 37980 | D | |
| Common Stock (4) | 4/16/2020 | | S | | 1847 | D | $285.66 (7) | 36133 | D | |
| Common Stock (4) | 4/16/2020 | | S | | 2161 | D | $286.82 (8) | 33972 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security
(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 |
| Restricted Stock Unit | (1) | 4/15/2020 | | M | | | 6907 | (9) | (9) | Common Stock | 6907.0 | (1) | 6907 | D | |
| Restricted Stock Unit | (1) | 4/15/2020 | | M | | | 5574 | (10) | (10) | Common Stock | 5574.0 | (1) | 16720 | D | |
| Restricted Stock Unit | (1) | 4/15/2020 | | M | | | 4153 | (11) | (11) | Common Stock | 4153.0 | (1) | 20765 | D | |
| Explanation of Responses: |
| (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) | The number of securities reported reflects the acquisition on January 31, 2020 of 120 shares of Apple Inc.'s common stock pursuant to the Apple Inc. Amended Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of August 1, 2019 through January 31, 2020. |
| (3) | Shares withheld by Apple to satisfy tax withholding requirements on vesting of restricted stock units. |
| (4) | This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 31, 2019. |
| (5) | This transaction was executed in multiple trades at prices ranging from $283.25 to $284.13; 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, Apple, or a security holder of Apple. |
| (6) | This transaction was executed in multiple trades at prices ranging from $284.265 to $284.79; 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, Apple, or a security holder of Apple. |
| (7) | This transaction was executed in multiple trades at prices ranging from $285.27 to $285.895; 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, Apple, or a security holder of Apple. |
| (8) | This transaction was executed in multiple trades at prices ranging from $286.47 to $287.08; 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, Apple, or a security holder of Apple. |
| (9) | This award was granted on October 14, 2016. 12.5% of the award vested on April 15, 2017 and the remaining restricted stock units vest 12.5% in semi-annual installments over the four-year period ending October 15, 2020, assuming continued employment through the applicable vesting date. |
| (10) | This award was granted on October 15, 2017. 12.5% of the award vested on April 15, 2018 and the remaining restricted stock units vest 12.5% in semi-annual installments over the four-year period ending October 15, 2021, assuming continued employment through the applicable vesting date. |
| (11) | This award was granted on September 30, 2018. 12.5% of the award vested on April 15, 2019 and the remaining restricted stock units vest 12.5% in semi-annual installments over the four-year period ending October 15, 2022, assuming continued employment through the applicable vesting date. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
O'BRIEN DEIRDRE
ONE APPLE PARK WAY
CUPERTINO, CA 95014 |
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| Senior Vice President |
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Signatures
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| /s/ Sam Whittington, Attorney-in-Fact for Deirdre O'Brien | | 4/17/2020 |
| **Signature of Reporting Person | Date |
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