SEC Form 4 · accession 0001357400-17-000099
APACHE CORP · APA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James L House
Officer — Sr. Region Vice President
Period of report
May 22, 2017
Accepted (ET)
May 23, 2017 · 6:04 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 22, 2017 | M | 240 | $0.00 | A | 13,118 | D | |
| Common Stock | May 22, 2017 | F | 101 | $50.02 | D | 13,017 | D | |
| Common Stock | May 22, 2017 | M | 360 | $0.00 | A | 13,377 | D | |
| Common Stock | May 22, 2017 | F | 152 | $50.02 | D | 13,225 | D | |
| Common Stock | holding | — | — | — | 3,223 | I | Held by Trustee 401(k) Plan | |
| Common Stock | holding | — | — | — | 14,137 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF4,F5 | $0.00 | May 22, 2017 | M | 900 | A | — | — | Common Stock | 900 | 4,642 | D |
| Phantom Stock UnitsF4,F6 | $0.00 | May 22, 2017 | J | 19 | A | — | — | Common Stock | 19 | 4,661 | D |
| Restricted Stock / UnitsF7,F8,F1 | $0.00 | May 22, 2017 | M | 240 | D | — | — | Common Stock | 240 | 45,584 | D |
| Restricted Stock / UnitsF7,F8,F3 | $0.00 | May 22, 2017 | M | 360 | D | — | — | Common Stock | 360 | 45,224 | D |
| Restricted Stock / UnitsF7,F8,F3 | $0.00 | May 22, 2017 | M | 900 | D | — | — | Common Stock | 900 | 44,324 | D |
Explanation of responses
- F1Vesting on 05/22/2017 of restricted stock units under employer plan - vesting occurs 25% per year over four years. Data provided by plan administrator on 05/23/2017.
- F2Shares withheld to cover required tax withholding on vesting of restricted stock effective as of 05/22/2017. Data provided by plan administrator on 05/23/2017.
- F3Vesting on 05/22/2017 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 05/23/2017.
- F4One share of Apache common stock for each phantom stock unit.
- F5Exempt acquisition pursuant to Rule 16b-3(d). Accrued under the deferred compensation provisions of Apache's Deferred Delivery Plan - effective as of 05/22/2017. Data provided by the plan administrator on 05/23/2017.
- F6Exempt acquisition pursuant to Rule 16b-3(d) - accrued under the deferred compensation provisions of Apache's Deferred Delivery Plan.
- F7With tandem tax withholding right
- F8One share of Apache common stock for each restricted stock unit.