SEC Form 4 · accession 0001357400-17-000019
APACHE CORP · APA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Dominic Ricotta
Officer — Sr. Vice President
Period of report
Jan 4, 2017
Accepted (ET)
Jan 5, 2017 · 1:58 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 | Jan 4, 2017 | M | 436 | $0.00 | A | 436 | D | |
| Common Stock | Jan 4, 2017 | F | 183 | $63.47 | D | 253 | D | |
| Common Stock | Jan 4, 2017 | M | 1,149 | $0.00 | A | 1,402 | D | |
| Common Stock | Jan 4, 2017 | F | 483 | $63.47 | D | 919 | D | |
| Common Stock | holding | — | — | — | 5,951 | I | Held by Trustee 401(k) Plan | |
| Common Stock | holding | — | — | — | 4,453 | I | Held by Trustee NQ Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock / UnitsF5,F6,F7 | $0.00 | Jan 4, 2017 | A | 3,544 | A | — | — | Common Stock | 3,544 | 30,885 | D |
| Restricted Stock / UnitsF5,F6,F1 | $0.00 | Jan 4, 2017 | M | 436 | D | — | — | Common Stock | 436 | 30,449 | D |
| Restricted Stock / UnitsF5,F6,F3 | $0.00 | Jan 4, 2017 | M | 1,149 | D | — | — | Common Stock | 1,149 | 29,300 | D |
Explanation of responses
- F1RSU vesting under 2013 Performance Program under 2011 Omnibus Equity Compensation Plan. Data received from the plan administrator on 01/04/2017.
- F2Shares withheld to cover required tax withholding on RSU vesting under 2013 Performance Program under 2011 Omnibus Equity Compensation Plan. Data received from plan administrator on 01/04/2017.
- F3RSU vesting under 2014 Business Performance Program under 2011 Omnibus Equity Compensation Plan. Data received from the plan administrator on 01/04/2017.
- F4Shares withheld to cover required tax withholding on RSU vesting under 2014 Business Performance Program under 2011 Omnibus Equity Compensation Plan. Data received from plan administrator on 01/04/2017.
- F5With tandem tax withholding right
- F6One share of Apache common stock for each restricted stock unit.
- F7Restricted stock units granted 12/30/2016 under employer plan - data provided by plan administrator on 01/04/2017. The units vest 100% on 01/01/2020.