Statement of Changes in Beneficial Ownership (4)
October 17 2019 - 5:32PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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KONDO CHRIS |
2. Issuer Name and Ticker or Trading Symbol
Apple Inc.
[
AAPL
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Principal Accounting Officer
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(Last)
(First)
(Middle)
ONE APPLE PARK WAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/15/2019
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(Street)
CUPERTINO, CA 95014
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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10/15/2019
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M
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6915
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A
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(1)
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15464
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D
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Common Stock (2)
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10/15/2019
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F
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3320
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D
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$235.32
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12144
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D
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Common Stock (3)
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10/16/2019
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S
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3932
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D
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$233.26
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8212
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D
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code (Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)
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8. Price of Derivative Security (Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Unit
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(1)
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10/15/2019
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M
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2144
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(4)
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(4)
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Common Stock
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2144.0
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(1)
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0
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D
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Restricted Stock Unit
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(1)
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10/15/2019
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M
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2072
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(5)
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(5)
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Common Stock
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2072.0
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(1)
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4144
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D
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Restricted Stock Unit
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(1)
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10/15/2019
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M
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1592
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(6)
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(6)
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Common Stock
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1592.0
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(1)
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6370
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D
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Restricted Stock Unit
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(1)
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10/15/2019
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M
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1107
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(7)
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(7)
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Common Stock
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1107.0
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(1)
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6645
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D
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Explanation of Responses:
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(1)
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Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.
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(2)
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Shares withheld by Registrant to satisfy the statutory tax withholding requirements on vesting of restricted stock units.
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(3)
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This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 25, 2018, as amended on February 12, 2019 and May 20, 2019.
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(4)
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This award was granted on October 5, 2015. 12.5% of the award vested on April 15, 2016 and the remaining restricted stock units vested 12.5% in semi-annual installments over the four-year period ending October 15, 2019.
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(5)
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This award was granted on October 14, 2016. 12.5% of the award vested on April 15, 2017 and the remaining restricted stock units vest 12.5% in semi-annual installments over the four-year period ending October 15, 2020, assuming continued employment through the applicable vesting date.
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(6)
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This award was granted on October 15, 2017. 12.5% of the award vested on April 15, 2018 and the remaining restricted stock units vest 12.5% in semi-annual installments over the four-year period ending October 15, 2021, assuming continued employment through the applicable vesting date
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(7)
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This award was granted on September 30, 2018. 12.5% of the award vested on April 15, 2019 and the remaining restricted stock units vest 12.5% in semi-annual installments over the four-year period ending October 15, 2022, assuming continued employment through the applicable vesting date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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KONDO CHRIS ONE APPLE PARK WAY CUPERTINO, CA 95014
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Principal Accounting Officer
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Signatures
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/s/ Sam Whittington, Attorney-in-Fact for Chris Kondo
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10/17/2019
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**Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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