SEC Form 4 · accession 0001357400-19-000052
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
Feb 1, 2019
Accepted (ET)
Feb 5, 2019 · 6:50 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 | Feb 1, 2019 | M | 2,710 | $0.00 | A | 19,024 | D | |
| Common Stock | Feb 1, 2019 | F | 1,067 | $32.65 | D | 17,957 | D | |
| Common StockF3 | Feb 1, 2019 | M | 1,806 | $0.00 | A | 19,763 | D | |
| Common Stock | Feb 1, 2019 | D | 1,806 | $32.65 | D | 17,957 | D | |
| Common Stock | Feb 3, 2019 | M | 2,562 | $0.00 | A | 20,519 | D | |
| Common Stock | Feb 3, 2019 | F | 1,009 | $32.65 | D | 19,510 | D | |
| Common Stock | holding | — | — | — | 5,958 | I | Held by Trustee 401(k) Plan | |
| Common Stock | holding | — | — | — | 12,244 | 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,F1 | $0.00 | Feb 1, 2019 | M | 2,710 | D | — | — | Common Stock | 2,710 | 51,531 | D |
| Restricted Stock / UnitsF3,F6 | $0.00 | Feb 1, 2019 | M | 1,806 | D | — | — | Common Stock | 1,806 | 49,725 | D |
| Restricted Stock / UnitsF5,F4 | $0.00 | Feb 3, 2019 | M | 2,562 | D | — | — | Common Stock | 2,562 | 47,163 | D |
Explanation of responses
- F1Vesting on 02/01/2019 of restricted stock units under the employer plan. Vesting occurs ratably over three years.
- F2Shares withheld to cover required tax withholding on vesting of restricted stock.
- F3Each restricted stock unit is the economic equivalent of one share of the Issuer's common stock and can only be settled in cash
- F4Vesting on 02/03/2019 of restricted stock units under employer plan. Vesting occurs ratably over three years.
- F5One share of Apache common stock for each restricted stock unit.
- F6Vesting on 02/01/2019 of cash-based restricted stock units granted under employer plan. Vesting occurs ratably over three years.