FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF
SECURITIES
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 * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer |
(Check all applicable) |
O'BRIEN DEIRDRE | APPLE INC [ AAPL ] | _____ Director | _____ 10% Owner | ||||||||||||||||||||||||||
(Last) | (First) | (Middle) | 3. Date of Earliest Transaction (MM/DD/YYYY) | ||||||||||||||||||||||||||
__ X __ Officer (give title below) | _____ Other (specify below) | ||||||||||||||||||||||||||||
ONE APPLE PARK WAY | 4/15/2019 | Senior Vice President | |||||||||||||||||||||||||||
(Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | 6. Individual or Joint/Group Filing (Check Applicable Line) | |||||||||||||||||||||||||||
CUPERTINO, CA 95014 | _ X _ Form filed by One Reporting Person | ||||||||||||||||||||||||||||
(City) | (State) | (Zip) | ___ Form filed by More than One Reporting Person | ||||||||||||||||||||||||||
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||||||||||||||||
1.Title of Security | 2. Trans. Date | 2A. Deemed | 3. Trans. Code | 4. Securities Acquired (A) | 5. Amount of Securities Beneficially Owned | 6. | 7. Nature | ||||||||||||||||||||||
(Instr. 3) | Execution | (Instr. 8) | or Disposed of (D) | Following Reported Transaction(s) | Ownership | of Indirect | |||||||||||||||||||||||
Date, if any | (Instr. 3, 4 and 5) | (Instr. 3 and 4) | Form: | Beneficial | |||||||||||||||||||||||||
Direct (D) | Ownership | ||||||||||||||||||||||||||||
or Indirect | (Instr. 4) | ||||||||||||||||||||||||||||
(A) or | (I) (Instr. | ||||||||||||||||||||||||||||
Code | V | Amount | (D) | Price | 4) | ||||||||||||||||||||||||
Common Stock | 4/15/2019 | M | 23970 | A | 44633 | D | |||||||||||||||||||||||
Common Stock (2) | 4/15/2019 | F | 10781 | D | $199.23 | 33852 | D | ||||||||||||||||||||||
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) | |||||||||||||||||||||||||||||
1. Title of Derivate | 2. | 3. Trans. | 3A. Deemed | 4. Trans. | 5. Number of | 6. Date Exercisable and | 7. Title and Amount of | 8. Price of | 9. Number of | 10. | 11. Nature | ||||||||||||||||||
Security | Conversion | Date | Execution | Code | Derivative | Expiration Date | Securities Underlying | Derivative | derivative | Ownership | of Indirect | ||||||||||||||||||
(Instr. 3) | or Exercise | Date, if any | (Instr. 8) | Securities Acquired | Derivative Security | Security | Securities | Form of | Beneficial | ||||||||||||||||||||
Price of | (A) or Disposed of | (Instr. 3 and 4) | (Instr. 5) | Beneficially | Derivative | Ownership | |||||||||||||||||||||||
Derivative | (D) | Owned | Security: | (Instr. 4) | |||||||||||||||||||||||||
Security | (Instr. 3, 4 and 5) | Following | Direct (D) | ||||||||||||||||||||||||||
Reported | or Indirect | ||||||||||||||||||||||||||||
Date | Expiration | Amount or | |||||||||||||||||||||||||||
Title | Transaction(s) | (I) (Instr. | |||||||||||||||||||||||||||
Number of | |||||||||||||||||||||||||||||
Code | V | (A) | (D) | Exercisable | Date | Shares | (Instr. 4) | 4) | |||||||||||||||||||||
Restricted Stock | 4/15/2019 | M | 7334 | Common | 7334.0 | 7334 | D | ||||||||||||||||||||||
Unit | Stock | ||||||||||||||||||||||||||||
Restricted Stock | 4/15/2019 | M | 6908 | Common | 6908.0 | 20721 | D | ||||||||||||||||||||||
Unit | Stock | ||||||||||||||||||||||||||||
Restricted Stock | 4/15/2019 | M | 5574 | Common | 5574.0 | 27867 | D | ||||||||||||||||||||||
Unit | Stock | ||||||||||||||||||||||||||||
Restricted Stock | 4/15/2019 | M | 4154 | Common | 4154.0 | 29071 | D | ||||||||||||||||||||||
Unit | Stock | ||||||||||||||||||||||||||||
Explanation of Responses:
(1)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.
(2)Shares withheld by Apple to satisfy tax withholding requirements on vesting of restricted stock units. No shares were sold.
(3)This award was granted on October 5, 2015. 12.5% of the award vested on April 15, 2016 and the remaining restricted stock units vest 12.5% in semi-annual installments over the four-year period ending October 15, 2019, assuming continued employment through the applicable vesting date.
(4)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.
(5)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.
(6)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.
Reporting Owners
Reporting Owner Name / Address | Relationships | |
Director 10% Owner Officer | Other |
O'BRIEN DEIRDRE
ONE APPLE PARK WAYSenior Vice President
CUPERTINO, CA 95014
Signatures | ||
/s/ Sam Whittington, Attorney-in-Fact for Deirdre O'Brien | 4/17/2019 | |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
*If the form is filed by more than one reporting person, see Instruction 4(b)(v).
**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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Disclaimer
Apple Inc. published this content on 17 April 2019 and is solely responsible for the information contained herein. Distributed by Public, unedited and unaltered, on 17 April 2019 22:47:01 UTC