Apple Inc. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 11 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-10-15: Reporting owner RAFAEL BETSY; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-09-26: Reporting owner RAFAEL BETSY; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-09-21: Reporting owner SEWELL D BRUCE; Form 4; Security Restricted Stock Unit; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-09-11: Reporting owner RAFAEL BETSY; Form 4; Security Restricted Stock Unit; 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 |
|---|---|---|---|---|---|---|---|---|
| 2009-10-15 | RAFAEL BETSY Officer (VP, Controller and PAO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −52,500 −1,875 as filed 315,000 owned after | no price filed | $6.81 | 2009-10-19 |
| 2009-09-26 | RAFAEL BETSY Officer (VP, Controller and PAO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +336,000 +12,000 as filed 336,000 owned after | $0.00 | $6.51 | 2009-09-29 |
| 2009-09-21 | SEWELL D BRUCE Officer (GC, SVP Legal and Gov't Affrs) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,800,000 +100,000 as filed 2,800,000 owned after | $0.00 | $6.57 | 2009-09-23 |
| 2009-09-11 | RAFAEL BETSY Officer (VP, Controller and PAO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −280,000 −10,000 as filed 840,000 owned after | no price filed | $6.15 | 2009-09-15 |
| 2009-08-30 | Forstall Scott J Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −140,000 −5,000 as filed 0 owned after | no price filed | $6.07 | 2009-09-01 |
| 2009-08-30 | MANSFIELD ROBERT J Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −140,000 −5,000 as filed 0 owned after | no price filed | $6.07 | 2009-09-01 |
| 2009-08-29 | MANSFIELD ROBERT J Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −700,000 −25,000 as filed 0 owned after | no price filed | $6.07 | 2009-09-01 |
| 2009-07-19 | Forstall Scott J Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,050,000 −37,500 as filed 0 owned after | no price filed | $5.42 | 2009-07-21 |
| 2009-06-18 | IVE JONATHAN P Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,400,000 −50,000 as filed 0 owned after | no price filed | $4.85 | 2009-06-22 |
| 2009-04-24 | Papermaster Mark D Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,100,000 +75,000 as filed 2,100,000 owned after | $0.00 | $4.43 | 2009-04-28 |
| 2009-04-15 | RAFAEL BETSY Officer (VP, Controller and PAO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −52,500 −1,875 as filed 367,500 owned after | no price filed | $4.20 | 2009-04-17 |