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: 46 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-12-23: Reporting owner FEDERIGHI CRAIG; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-12-23: Reporting owner Riccio Daniel J.; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-10-15: Reporting owner Cue Eduardo H; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-10-15: Reporting owner FEDERIGHI CRAIG; 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 |
|---|---|---|---|---|---|---|---|---|
| 2013-12-23 | FEDERIGHI CRAIG 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 1,400,000 owned after | no price filed | $20.36 | 2013-12-26 |
| 2013-12-23 | Riccio Daniel 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 1,400,000 owned after | no price filed | $20.36 | 2013-12-26 |
| 2013-10-15 | Cue Eduardo H Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −70,000 −2,500 as filed 0 owned after | no price filed | $17.81 | 2013-10-17 |
| 2013-10-15 | FEDERIGHI CRAIG Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,000 −1,250 as filed 0 owned after | no price filed | $17.81 | 2013-10-17 |
| 2013-10-15 | FEDERIGHI CRAIG Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,000 −1,250 as filed 70,000 owned after | no price filed | $17.81 | 2013-10-17 |
| 2013-10-15 | Riccio Daniel J. Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −105,000 −3,750 as filed 0 owned after | no price filed | $17.81 | 2013-10-17 |
| 2013-10-15 | Riccio Daniel J. Officer (Senior Vice President) | 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 105,000 owned after | no price filed | $17.81 | 2013-10-17 |
| 2013-10-15 | Riccio Daniel J. Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −70,000 −2,500 as filed 280,000 owned after | no price filed | $17.81 | 2013-10-17 |
| 2013-10-15 | WILLIAMS JEFFREY E Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −105,000 −3,750 as filed 0 owned after | no price filed | $17.81 | 2013-10-17 |
| 2013-10-07 | Maestri Luca Officer (VP, Corporate Controller) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +401,856 +14,352 as filed 401,856 owned after | $0.00 | $17.42 | 2013-10-09 |
| 2013-09-21 | SEWELL D BRUCE Officer (SVP, Gen'l Counsel, Secretary) | 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 | $16.69 | 2013-09-24 |
| 2013-09-15 | FEDERIGHI CRAIG Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −175,000 −6,250 as filed 700,000 owned after | no price filed | $16.60 | 2013-09-17 |
| 2013-09-04 | Maestri Luca Officer (VP and Corporate Controller) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −133,336 −4,762 as filed 933,212 owned after | no price filed | $17.81 | 2013-09-06 |
| 2013-08-24 | COOK TIMOTHY D Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,040,556 −72,877 as filed 23,520,000 owned after | no price filed | $17.89 | 2013-08-27 |
| 2013-08-24 | Cue Eduardo H 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 1,400,000 owned after | no price filed | $17.89 | 2013-08-27 |
| 2013-06-21 | SCHILLER PHILIP W Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,100,000 −75,000 as filed 2,100,000 owned after | no price filed | $14.77 | 2013-06-21 |
| 2013-06-21 | OPPENHEIMER PETER Officer (Senior Vice President, CFO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,100,000 −75,000 as filed 2,100,000 owned after | no price filed | $14.77 | 2013-06-21 |
| 2013-06-21 | MANSFIELD ROBERT L Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −795,592 −28,414 as filed 2,100,000 owned after | no price filed | $14.77 | 2013-06-21 |
| 2013-06-21 | WILLIAMS JEFFREY E Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,100,000 −75,000 as filed 2,100,000 owned after | no price filed | $14.77 | 2013-06-21 |
| 2013-06-21 | SEWELL D BRUCE Officer (SVP, Gen'l Counsel, Secretary) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,100,000 −75,000 as filed 2,100,000 owned after | no price filed | $14.77 | 2013-06-21 |
| 2013-06-21 | COOK TIMOTHY D Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,240,000 −80,000 as filed 25,760,000 owned after | no price filed | $14.77 | 2013-06-21 |
| 2013-06-15 | FEDERIGHI CRAIG Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −105,000 −3,750 as filed 0 owned after | no price filed | $15.36 | 2013-06-18 |
| 2013-04-26 holding as of filing | Maestri Luca Officer (VP, Corporate Controller) | 3 | Restricted Stock Unit Derivative · Direct | Holding | no price filed | 2013-04-26 | ||
| 2013-04-15 | WILLIAMS JEFFREY E Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −105,000 −3,750 as filed 105,000 owned after | no price filed | $14.99 | 2013-04-17 |
| 2013-04-15 | Cue Eduardo H Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −70,000 −2,500 as filed 70,000 owned after | no price filed | $14.99 | 2013-04-17 |
| 2013-04-15 | FEDERIGHI CRAIG Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,000 −1,250 as filed 35,000 owned after | no price filed | $14.99 | 2013-04-17 |
| 2013-04-15 | FEDERIGHI CRAIG Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,000 −1,250 as filed 105,000 owned after | no price filed | $14.99 | 2013-04-17 |
| 2013-04-15 | Riccio Daniel J. Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −105,000 −3,750 as filed 105,000 owned after | no price filed | $14.99 | 2013-04-17 |
| 2013-04-15 | Riccio Daniel J. Officer (Senior Vice President) | 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 157,500 owned after | no price filed | $14.99 | 2013-04-17 |
| 2013-04-15 | Riccio Daniel J. Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −70,000 −2,500 as filed 350,000 owned after | no price filed | $14.99 | 2013-04-17 |
| 2013-03-15 | MANSFIELD ROBERT L Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,304,408 −46,586 as filed 2,895,592 owned after | no price filed | $15.85 | 2013-03-19 |
| 2013-03-15 | FEDERIGHI CRAIG Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −175,000 −6,250 as filed 875,000 owned after | no price filed | $15.85 | 2013-03-19 |
| 2013-02-27 | SUGAR RONALD D Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,736 +562 as filed 15,736 owned after | $0.00 | $15.88 | 2013-02-28 |
| 2013-02-27 | CAMPBELL WILLIAM V Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,736 +562 as filed 15,736 owned after | $0.00 | $15.88 | 2013-02-28 |
| 2013-02-27 | JUNG ANDREA Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,736 +562 as filed 15,736 owned after | $0.00 | $15.88 | 2013-02-28 |
| 2013-02-27 | LEVINSON ARTHUR D Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,736 +562 as filed 15,736 owned after | $0.00 | $15.88 | 2013-02-28 |
| 2013-02-27 | GORE ALBERT JR Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,736 +562 as filed 15,736 owned after | $0.00 | $15.88 | 2013-02-28 |
| 2013-02-27 | IGER ROBERT A Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,736 +562 as filed 15,736 owned after | $0.00 | $15.88 | 2013-02-28 |
| 2013-02-27 | DREXLER MILLARD S Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,736 +562 as filed 15,736 owned after | $0.00 | $15.88 | 2013-02-28 |
| 2013-02-01 | SUGAR RONALD D Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,836 −387 as filed 0 owned after | no price filed | $16.20 | 2013-02-04 |
| 2013-02-01 | LEVINSON ARTHUR D Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,836 −387 as filed 0 owned after | no price filed | $16.20 | 2013-02-04 |
| 2013-02-01 | JUNG ANDREA Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,836 −387 as filed 0 owned after | no price filed | $16.20 | 2013-02-04 |
| 2013-02-01 | IGER ROBERT A Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,836 −387 as filed 0 owned after | no price filed | $16.20 | 2013-02-04 |
| 2013-02-01 | GORE ALBERT JR Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,836 −387 as filed 0 owned after | no price filed | $16.20 | 2013-02-04 |
| 2013-02-01 | DREXLER MILLARD S Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,836 −387 as filed 0 owned after | no price filed | $16.20 | 2013-02-04 |
| 2013-02-01 | CAMPBELL WILLIAM V Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,836 −387 as filed 0 owned after | no price filed | $16.20 | 2013-02-04 |