SEC Form 4 · accession 0000320193-18-000052
Apple Inc. · AAPL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel J. Riccio
Officer — Senior Vice President
Period of report
Apr 1, 2018
Accepted (ET)
Apr 3, 2018 · 6:34 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000320193
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 1, 2018 | M | 130,117 | — | A | 130,117 | D | |
| Common StockF2 | Apr 1, 2018 | F | 60,626 | $167.78 | D | 69,491 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F3 | — | Apr 1, 2018 | M | 53,055 | D | — | — | Common Stock | 53,055 | 0 | D |
| Restricted Stock UnitF1,F4 | — | Apr 1, 2018 | M | 40,954 | D | — | — | Common Stock | 40,954 | 40,954 | D |
| Restricted Stock UnitF1,F5 | — | Apr 1, 2018 | M | 36,108 | D | — | — | Common Stock | 36,108 | 72,215 | D |
Explanation of responses
- F1Each 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.
- F2Shares withheld by Apple to satisfy tax withholding requirements on vesting of restricted stock units. No shares were sold.
- F3This award was granted on March 3, 2014. 53,056 restricted stock units subject to the award vested on April 1, 2016, and 53,055 restricted stock units vested on each of April 1, 2017 and April 1, 2018.
- F4This award was granted on October 17, 2014. 40,955 restricted stock units subject to the award vested on April 1, 2017, 40,954 restricted stock units vested on April 1, 2018, and 40,954 restricted stock units are scheduled to vest on April 1, 2019, assuming continued employment through the applicable vesting date.
- F5This award was granted on October 5, 2015. 36,108 restricted stock units subject to the award vested on April 1, 2018, 36,108 restricted stock units are scheduled to vest on April 1, 2019, and 36,107 restricted stock units are scheduled to vest on April 1, 2020, assuming continued employment through the applicable vesting date.