SEC Form 4 · accession 0001357400-16-000386
APACHE CORP · APA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John J Christmann
Officer — CEO and President · Director
Period of report
Nov 11, 2016
Accepted (ET)
Nov 14, 2016 · 5:50 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000006769
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 11, 2016 | M | 5,600 | $0.00 | A | 49,850 | D | |
| Common Stock | Nov 11, 2016 | F | 2,350 | $57.72 | D | 47,500 | D | |
| Common Stock | holding | — | — | — | 1,389 | I | By JJC IV 1984 Trust | |
| Common Stock | holding | — | — | — | 2,888 | I | Held by Trustee of 401(k) Plan | |
| Common Stock | holding | — | — | — | 31,903 | I | Held by Trustee of NQ Plan | |
| Common Stock | holding | — | — | — | 528 | I | By JJC V 1998 Trust | |
| Common Stock | holding | — | — | — | 528 | I | By CAC 1998 Trust | |
| Common Stock | holding | — | — | — | 528 | I | By CEC 2003 Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock / UnitsF3,F4,F1 | $0.00 | Nov 11, 2016 | M | 5,600 | D | Nov 11, 2016 | — | Common Stock | 5,600 | 196,737 | D |
Explanation of responses
- F1Vesting on 11/11/2016 of restricted stock units under employer plan. Vesting occurs 20% per year over five years. Data provided by plan administrator on 11/14/2016.
- F2Shares withheld to cover required tax withholding on vesting of restricted stock effective as of 11/11/2016. Data provided by plan administrator on 11/14/2016.
- F3With tandem tax withholding right
- F4One share of Apache common stock for each restricted stock unit.