Apple Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 53 rows in 2007. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2007-10-26: Reporting owner JOHNSON RONALD B; Form 4; Security Employee Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-09-14: Reporting owner Fadell Anthony; Form 4; Security Employee Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-08-15: Reporting owner Fadell Anthony; Form 4; Security Employee Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-08-15: Reporting owner Fadell Anthony; Form 4; Security Employee Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2007-10-26 | JOHNSON RONALD B Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,600,000 −700,000 as filed 12,600,000 owned after | $0.85 $23.72 as filed exercise price | $6.60 | 2007-10-30 |
| 2007-09-14 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Indirect · By Wife | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −369,600 −13,200 as filed 4,719,400 owned after | $0.55 $15.48 as filed exercise price | $4.96 | 2007-09-18 |
| 2007-08-15 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Indirect · By Wife | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,000 −1,250 as filed 140,000 owned after | $0.39 $10.90 as filed exercise price | $4.28 | 2007-08-17 |
| 2007-08-15 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Indirect · By Wife | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,000 −1,250 as filed 105,000 owned after | $0.39 $10.90 as filed exercise price | $4.28 | 2007-08-17 |
| 2007-08-15 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Indirect · By Wife | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,000 −1,250 as filed 70,000 owned after | $0.39 $10.90 as filed exercise price | $4.28 | 2007-08-17 |
| 2007-08-15 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Indirect · By Wife | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −231,000 −8,250 as filed 5,089,000 owned after | $0.55 $15.48 as filed exercise price | $4.28 | 2007-08-17 |
| 2007-08-14 | LEVINSON ARTHUR D Director | 4 | Director Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +280,000 +10,000 as filed 280,000 owned after | $4.43 $124.03 as filed exercise price | $4.43 | 2007-08-16 |
| 2007-08-13 | JOBS STEVEN P Director, Officer (Chief Executive Officer) | 4 | Director Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,120,000 −40,000 as filed 2,240,000 owned after | $0.21 $5.75 as filed exercise price | $4.56 | 2007-08-15 |
| 2007-08-13 | JOBS STEVEN P Director, Officer (Chief Executive Officer) | 4 | Director Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,120,000 −40,000 as filed 1,120,000 owned after | $0.21 $5.75 as filed exercise price | $4.56 | 2007-08-15 |
| 2007-08-13 | JOBS STEVEN P Director, Officer (Chief Executive Officer) | 4 | Director Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,120,000 −40,000 as filed 0 owned after | $0.21 $5.75 as filed exercise price | $4.56 | 2007-08-15 |
| 2007-08-05 | CAMPBELL WILLIAM V Director | 4 | Director Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +280,000 +10,000 as filed 280,000 owned after | $4.71 $131.85 as filed exercise price | $4.71 | 2007-08-07 |
| 2007-08-05 | YORK JEROME B Director | 4 | Director Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +280,000 +10,000 as filed 280,000 owned after | $4.71 $131.85 as filed exercise price | $4.71 | 2007-08-07 |
| 2007-07-30 | CAMPBELL WILLIAM V Director | 4 | Director Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −28,000 −1,000 as filed 0 owned after | $0.21 $5.75 as filed exercise price | $5.05 | 2007-08-01 |
| 2007-07-30 | CAMPBELL WILLIAM V Director | 4 | Director Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −582,400 −20,800 as filed 28,000 owned after | $0.21 $5.75 as filed exercise price | $5.05 | 2007-08-01 |
| 2007-07-30 | CAMPBELL WILLIAM V Director | 4 | Director Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −82,572 −2,949 as filed 0 owned after | $0.21 $5.75 as filed exercise price | $5.05 | 2007-08-01 |
| 2007-07-30 | CAMPBELL WILLIAM V Director | 4 | Director Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −509,600 −18,200 as filed 610,400 owned after | $0.21 $5.75 as filed exercise price | $5.05 | 2007-08-01 |
| 2007-07-30 | CAMPBELL WILLIAM V Director | 4 | Director Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −744,828 −26,601 as filed 82,572 owned after | $0.21 $5.75 as filed exercise price | $5.05 | 2007-08-01 |
| 2007-07-30 | CAMPBELL WILLIAM V Director | 4 | Director Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −520,212 −18,579 as filed 0 owned after | $0.21 $5.75 as filed exercise price | $5.05 | 2007-08-01 |
| 2007-07-30 | CAMPBELL WILLIAM V Director | 4 | Director Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −292,600 −10,450 as filed 827,400 owned after | $0.21 $5.75 as filed exercise price | $5.05 | 2007-08-01 |
| 2007-07-30 | CAMPBELL WILLIAM V Director | 4 | Director Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −599,788 −21,421 as filed 520,212 owned after | $0.21 $5.75 as filed exercise price | $5.05 | 2007-08-01 |
| 2007-05-25 | DREXLER MILLARD S Director | 4 | Director Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +280,000 +10,000 as filed 280,000 owned after | $4.06 $113.62 as filed | $4.06 | 2007-05-29 |
| 2007-04-30 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Indirect · By Wife | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −280,000 −10,000 as filed 5,320,000 owned after | $0.55 $15.48 as filed | $3.56 | 2007-05-02 |
| 2007-03-19 | GORE ALBERT JR Director | 4 | Director Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +280,000 +10,000 as filed 280,000 owned after | $3.25 $91.13 as filed | $3.25 | 2007-03-21 |
| 2007-02-06 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Indirect · By Wife | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −217,812 −7,779 as filed 5,600,000 owned after | $0.55 $15.48 as filed | $3.01 | 2007-02-08 |
| 2007-02-06 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −331,968 −11,856 as filed 4,802,000 owned after | $0.50 $14.03 as filed | $3.01 | 2007-02-08 |
| 2007-02-06 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Indirect · By Wife | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,736 −812 as filed 0 owned after | $0.45 $12.73 as filed | $3.01 | 2007-02-08 |
| 2007-02-06 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Indirect · By Wife | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,000 −1,250 as filed 175,000 owned after | $0.39 $10.90 as filed | $3.01 | 2007-02-08 |
| 2007-02-06 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Indirect · By Wife | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,000 −1,250 as filed 175,000 owned after | $0.39 $10.90 as filed | $3.01 | 2007-02-08 |
| 2007-02-06 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Indirect · By Wife | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,000 −1,250 as filed 175,000 owned after | $0.39 $10.90 as filed | $3.01 | 2007-02-08 |
| 2007-02-06 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Indirect · By Wife | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −700,000 −25,000 as filed 5,600,000 owned after | $0.55 $15.48 as filed | $3.01 | 2007-02-08 |
| 2007-02-06 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Indirect · By Wife | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −700,000 −25,000 as filed 5,600,000 owned after | $0.55 $15.48 as filed | $3.01 | 2007-02-08 |
| 2007-02-06 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Indirect · By Wife | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −700,000 −25,000 as filed 5,600,000 owned after | $0.55 $15.48 as filed | $3.01 | 2007-02-08 |
| 2007-02-06 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Indirect · By Wife | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −482,188 −17,221 as filed 5,600,000 owned after | $0.55 $15.48 as filed | $3.01 | 2007-02-08 |
| 2007-02-06 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −56,000 −2,000 as filed 0 owned after | $0.43 $12.13 as filed | $3.01 | 2007-02-08 |
| 2007-02-06 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −350,000 −12,500 as filed 0 owned after | $0.31 $8.56 as filed | $3.01 | 2007-02-08 |
| 2007-02-06 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −31,528 −1,126 as filed 901,236 owned after | $0.39 $10.90 as filed | $3.01 | 2007-02-08 |
| 2007-02-06 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −180,236 −6,437 as filed 918,876 owned after | $0.39 $10.90 as filed | $3.01 | 2007-02-08 |
| 2007-02-06 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −180,236 −6,437 as filed 918,876 owned after | $0.39 $10.90 as filed | $3.01 | 2007-02-08 |
| 2007-02-06 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −180,264 −6,438 as filed 918,876 owned after | $0.39 $10.90 as filed | $3.01 | 2007-02-08 |
| 2007-02-06 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −180,236 −6,437 as filed 918,876 owned after | $0.39 $10.90 as filed | $3.01 | 2007-02-08 |
| 2007-02-06 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −180,264 −6,438 as filed 918,876 owned after | $0.39 $10.90 as filed | $3.01 | 2007-02-08 |
| 2007-02-06 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −427,000 −15,250 as filed 4,802,000 owned after | $0.50 $14.03 as filed | $3.01 | 2007-02-08 |
| 2007-02-06 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −525,000 −18,750 as filed 4,802,000 owned after | $0.50 $14.03 as filed | $3.01 | 2007-02-08 |
| 2007-02-06 | Fadell Anthony Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −116,032 −4,144 as filed 4,802,000 owned after | $0.50 $14.03 as filed | $3.01 | 2007-02-08 |
| 2007-02-02 | JOHNSON RONALD B Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,640,000 −130,000 as filed 19,040,000 owned after | $0.85 $23.72 as filed | $3.03 | 2007-02-06 |
| 2007-02-01 | JOHNSON RONALD B Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,240,000 −80,000 as filed 22,680,000 owned after | $0.85 $23.72 as filed | $3.03 | 2007-02-05 |
| 2007-02-01 | JOHNSON RONALD B Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,920,000 −390,000 as filed 22,680,000 owned after | $0.85 $23.72 as filed | $3.03 | 2007-02-05 |
| 2007-01-16 | SERLET BERTRAND Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −560,000 −20,000 as filed 932,288 owned after | $0.42 $11.84 as filed | $3.47 | 2007-01-18 |
| 2007-01-12 | SERLET BERTRAND Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −560,000 −20,000 as filed 1,492,288 owned after | $0.42 $11.84 as filed | $3.38 | 2007-01-16 |
| 2007-01-11 | SERLET BERTRAND Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −560,000 −20,000 as filed 1,492,288 owned after | $0.42 $11.84 as filed | $3.42 | 2007-01-16 |
| 2007-01-10 | SERLET BERTRAND Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −560,000 −20,000 as filed 2,612,288 owned after | $0.42 $11.84 as filed | $3.46 | 2007-01-11 |
| 2007-01-09 | SERLET BERTRAND Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −92,288 −3,296 as filed 2,612,288 owned after | $0.42 $11.84 as filed | $3.31 | 2007-01-11 |
| 2007-01-09 | SERLET BERTRAND Officer (Senior Vice President) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −467,712 −16,704 as filed 2,612,288 owned after | $0.42 $11.84 as filed | $3.31 | 2007-01-11 |