SEC Form 4 · accession 0001357400-17-000044
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
Feb 20, 2017
Accepted (ET)
Feb 21, 2017 · 2:51 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 StockF1 | Feb 20, 2017 | G | 505 | $0.00 | D | 54,533 | D | |
| Common StockF2 | Feb 20, 2017 | G | 505 | $0.00 | D | 54,028 | D | |
| Common StockF3 | Feb 20, 2017 | G | 505 | $0.00 | D | 53,523 | D | |
| Common Stock | Feb 21, 2017 | M | 6,250 | $0.00 | A | 59,773 | D | |
| Common Stock | Feb 21, 2017 | F | 2,623 | $55.44 | D | 57,150 | D | |
| Common Stock | Feb 20, 2017 | G | 505 | $0.00 | A | 1,038 | I | By JJC V 1998 Trust |
| Common Stock | Feb 20, 2017 | G | 505 | $0.00 | A | 1,038 | I | By CAC 1998 Trust |
| Common Stock | Feb 20, 2017 | G | 505 | $0.00 | A | 1,038 | I | By CEC 2003 Trust |
| Common Stock | holding | — | — | — | 1,401 | I | By JJC IV 1984 Trust | |
| Common Stock | holding | — | — | — | 2,888 | I | Held by Trustee of 401(k) Plan | |
| Common Stock | holding | — | — | — | 32,317 | I | Held by Trustee of NQ Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF5,F6 | $0.00 | Feb 21, 2017 | M | 6,250 | A | — | — | Common Stock | 6,250 | 22,955 | D |
| Restricted Stock / UnitsF7,F8,F9 | $0.00 | Feb 21, 2017 | M | 12,500 | D | — | — | Common Stock | 12,500 | 250,057 | D |
Explanation of responses
- F1Gift to the JJCV 1998 Trust of which the reporting person is the trustee.
- F2Gift to the CAC 1998 Trust of which the reporting person is the trustee.
- F3Gift to the CEC 2003 Trust of which the reporting person is the trustee.
- F4Shares withheld to cover required tax withholding on vesting of restricted stock effective as of 02/18/2017. Data provided by plan administrator on 02/21/2017.
- F5One share of Apache common stock for each phantom stock unit.
- F6Exempt acquisition pursuant to Rule 16a-3(d). Accrued under the deferred compensation provisions of Apache's Deferred Delivery Plan - data provided by the plan administrator on 02/21/2017.
- F7With tandem tax withholding right
- F8One share of Apache common stock for each restricted stock unit.
- F9Vesting as of 02/18/2017 of restricted stock units pursuant to restricted stock unit award agreement under employer plan. Of these shares, 60 percent (net of required tax withholding) will not be eligible for sale by the reporting person until such time as he retires or otherwise terminates employment with the company. Data provided by plan administrator on 02/21/2017.