SEC Form 4 · accession 0001357400-17-000096
APACHE CORP · APA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dominic Ricotta
Officer — Sr. Vice President
Period of report
May 16, 2017
Accepted (ET)
May 17, 2017 · 4:46 pm EDT
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 | May 16, 2017 | M | 857 | $0.00 | A | 3,673 | D | |
| Common Stock | May 16, 2017 | F | 360 | $51.45 | D | 3,313 | D | |
| Common Stock | May 17, 2017 | M | 602 | $0.00 | A | 3,915 | D | |
| Common Stock | May 17, 2017 | F | 253 | $50.97 | D | 3,662 | D | |
| Common Stock | holding | — | — | — | 5,951 | I | Held by Trustee 401(k) Plan | |
| Common Stock | holding | — | — | — | 4,473 | 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,F1 | $0.00 | May 16, 2017 | M | 857 | D | — | — | Common Stock | 857 | 33,670 | D |
| Restricted Stock / UnitsF5,F6,F3 | $0.00 | May 17, 2017 | M | 602 | D | — | — | Common Stock | 602 | 33,068 | D |
Explanation of responses
- F1Vesting on 05/13/2017 of restricted stock units under employer plan - data provided by plan administrator on 05/16/2017. Vesting occurs 25% per year over four years.
- F2Shares withheld to cover required tax withholding on vesting of restricted stock effective as of 05/13/2017 - data provided by plan administrator on 05/16/2017.
- F3Vesting on 05/16/2017 of restricted stock units under employer plan - data provided by plan administrator on 05/17/2017. Vesting occurs 25% per year over four years.
- F4Shares withheld to cover required tax withholding on vesting of restricted stock effective as of 05/16/2017 - data provided by plan administrator on 05/17/2017.
- F5With tandem tax withholding right
- F6One share of Apache common stock for each restricted stock unit.