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Apple Inc. (AAPL) Forms 3, 4 and 5: Restricted Stock Units and Performance Rights, 2016

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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: 79 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.

  • 2016-10-15: Reporting owner Srouji Johny; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
  • 2016-10-15: Reporting owner Srouji Johny; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
  • 2016-10-15: Reporting owner Srouji Johny; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
  • 2016-10-15: Reporting owner Srouji Johny; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
Transaction dateReporting ownerFormSecurityTransactionSharesPricePrice that dayFiling
2016-10-15Srouji Johny
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−34,752
−8,688 as filed
0 owned after
$0.00$29.412016-10-18
2016-10-15Srouji Johny
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−53,820
−13,455 as filed
107,612 owned after
$0.00$29.412016-10-18
2016-10-15Srouji Johny
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−37,228
−9,307 as filed
148,912 owned after
$0.00$29.412016-10-18
2016-10-15Srouji Johny
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−45,136
−11,284 as filed
270,808 owned after
$0.00$29.412016-10-18
2016-10-15Maestri Luca
Officer (Senior Vice President, CFO)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−50,232
−12,558 as filed
100,464 owned after
$0.00$29.412016-10-18
2016-10-15KONDO CHRIS
Officer (Principal Accounting Officer)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−2,876
−719 as filed
0 owned after
$0.00$29.412016-10-18
2016-10-15KONDO CHRIS
Officer (Principal Accounting Officer)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−3,768
−942 as filed
7,528 owned after
$0.00$29.412016-10-18
2016-10-15KONDO CHRIS
Officer (Principal Accounting Officer)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−3,972
−993 as filed
15,884 owned after
$0.00$29.412016-10-18
2016-10-15KONDO CHRIS
Officer (Principal Accounting Officer)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−8,576
−2,144 as filed
51,456 owned after
$0.00$29.412016-10-18
2016-10-14WILLIAMS JEFFREY E
Officer (COO)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+340,052
+85,013 as filed
340,052 owned after
$0.00$29.412016-10-18
2016-10-14WILLIAMS JEFFREY E
Officer (COO)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+258,616
+64,654 as filed
258,616 owned after
$0.00$29.412016-10-18
2016-10-14Srouji Johny
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+340,052
+85,013 as filed
340,052 owned after
$0.00$29.412016-10-18
2016-10-14Srouji Johny
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+258,616
+64,654 as filed
258,616 owned after
$0.00$29.412016-10-18
2016-10-14SEWELL D BRUCE
Officer (SVP, Gen'l Counsel, Secretary)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+340,052
+85,013 as filed
340,052 owned after
$0.00$29.412016-10-18
2016-10-14SEWELL D BRUCE
Officer (SVP, Gen'l Counsel, Secretary)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+258,616
+64,654 as filed
258,616 owned after
$0.00$29.412016-10-18
2016-10-14SCHILLER PHILIP W
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+340,052
+85,013 as filed
340,052 owned after
$0.00$29.412016-10-18
2016-10-14SCHILLER PHILIP W
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+258,616
+64,654 as filed
258,616 owned after
$0.00$29.412016-10-18
2016-10-14Riccio Daniel J.
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+340,052
+85,013 as filed
340,052 owned after
$0.00$29.412016-10-18
2016-10-14Riccio Daniel J.
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+258,616
+64,654 as filed
258,616 owned after
$0.00$29.412016-10-18
2016-10-14Maestri Luca
Officer (Senior Vice President, CFO)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+340,052
+85,013 as filed
340,052 owned after
$0.00$29.412016-10-18
2016-10-14Maestri Luca
Officer (Senior Vice President, CFO)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+258,616
+64,654 as filed
258,616 owned after
$0.00$29.412016-10-18
2016-10-14KONDO CHRIS
Officer (Principal Accounting Officer)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+66,312
+16,578 as filed
66,312 owned after
$0.00$29.412016-10-18
2016-10-14FEDERIGHI CRAIG
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+340,052
+85,013 as filed
340,052 owned after
$0.00$29.412016-10-18
2016-10-14FEDERIGHI CRAIG
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+258,616
+64,654 as filed
258,616 owned after
$0.00$29.412016-10-18
2016-10-14Cue Eduardo H
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+340,052
+85,013 as filed
340,052 owned after
$0.00$29.412016-10-18
2016-10-14Cue Eduardo H
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+258,616
+64,654 as filed
258,616 owned after
$0.00$29.412016-10-18
2016-10-14AHRENDTS ANGELA J
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+340,052
+85,013 as filed
340,052 owned after
$0.00$29.412016-10-18
2016-10-14AHRENDTS ANGELA J
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+258,616
+64,654 as filed
258,616 owned after
$0.00$29.412016-10-18
2016-10-01WILLIAMS JEFFREY E
Officer (COO)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−350,312
−87,578 as filed
0 owned after
no price filed$28.262016-10-04
2016-10-01SEWELL D BRUCE
Officer (SVP, Gen'l Counsel, Secretary)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−350,312
−87,578 as filed
0 owned after
no price filed$28.262016-10-04
2016-10-01SCHILLER PHILIP W
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−350,312
−87,578 as filed
0 owned after
no price filed$28.262016-10-04
2016-10-01Riccio Daniel J.
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−350,312
−87,578 as filed
0 owned after
no price filed$28.262016-10-04
2016-10-01Maestri Luca
Officer (Senior Vice President, CFO)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−42,776
−10,694 as filed
0 owned after
no price filed$28.262016-10-04
2016-10-01FEDERIGHI CRAIG
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−350,312
−87,578 as filed
0 owned after
no price filed$28.262016-10-04
2016-10-01Cue Eduardo H
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−350,312
−87,578 as filed
0 owned after
no price filed$28.262016-10-04
2016-09-21Cue Eduardo H
Officer (Senior Vice President)
4Restricted Stock Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−2,100,000
−525,000 as filed
0 owned after
no price filed$28.392016-09-23
2016-09-04Maestri Luca
Officer (Senior Vice President, CFO)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−133,316
−33,329 as filed
133,312 owned after
no price filed$26.932016-09-07
2016-08-24COOK TIMOTHY D
Director, Officer (Chief Executive Officer)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−5,040,000
−1,260,000 as filed
14,000,000 owned after
no price filed$27.012016-08-26
2016-08-23Riccio Daniel J.
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−700,000
−175,000 as filed
0 owned after
no price filed$27.212016-08-25
2016-08-23FEDERIGHI CRAIG
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−700,000
−175,000 as filed
0 owned after
no price filed$27.212016-08-25
2016-08-15KONDO CHRIS
Officer (Principal Accounting Officer)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−2,700
−675 as filed
10,800 owned after
no price filed$27.372016-08-17
2016-06-14AHRENDTS ANGELA J
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−262,724
−65,681 as filed
105,084 owned after
no price filed$24.372016-06-16
2016-05-29Maestri Luca
Officer (Senior Vice President, CFO)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−38,204
−9,551 as filed
76,400 owned after
no price filed$25.092016-06-01
2016-05-01AHRENDTS ANGELA J
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−312,444
−78,111 as filed
312,440 owned after
no price filed$23.432016-05-03
2016-05-01AHRENDTS ANGELA J
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−300,496
−75,124 as filed
0 owned after
no price filed$23.432016-05-03
2016-04-15Srouji Johny
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−34,768
−8,692 as filed
34,752 owned after
no price filed$27.462016-04-19
2016-04-15Srouji Johny
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−53,820
−13,455 as filed
161,432 owned after
no price filed$27.462016-04-19
2016-04-15Srouji Johny
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−37,228
−9,307 as filed
186,140 owned after
no price filed$27.462016-04-19
2016-04-15Srouji Johny
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−45,136
−11,284 as filed
315,944 owned after
no price filed$27.462016-04-19
2016-04-15Maestri Luca
Officer (Senior Vice President, CFO)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−50,232
−12,558 as filed
150,696 owned after
no price filed$27.462016-04-19
2016-04-15KONDO CHRIS
Officer (Principal Accounting Officer)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−2,900
−725 as filed
2,876 owned after
no price filed$27.462016-04-19
2016-04-15KONDO CHRIS
Officer (Principal Accounting Officer)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−3,768
−942 as filed
11,296 owned after
no price filed$27.462016-04-19
2016-04-15KONDO CHRIS
Officer (Principal Accounting Officer)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−3,972
−993 as filed
19,856 owned after
no price filed$27.462016-04-19
2016-04-15KONDO CHRIS
Officer (Principal Accounting Officer)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−8,576
−2,144 as filed
60,032 owned after
no price filed$27.462016-04-19
2016-04-01WILLIAMS JEFFREY E
Officer (COO)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−212,224
−53,056 as filed
424,440 owned after
no price filed$27.502016-04-05
2016-04-01SEWELL D BRUCE
Officer (SVP, Gen'l Counsel, Secretary)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−212,224
−53,056 as filed
424,440 owned after
no price filed$27.502016-04-05
2016-04-01SCHILLER PHILIP W
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−212,224
−53,056 as filed
424,440 owned after
no price filed$27.502016-04-05
2016-04-01Riccio Daniel J.
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−212,224
−53,056 as filed
424,440 owned after
no price filed$27.502016-04-05
2016-04-01FEDERIGHI CRAIG
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−212,220
−53,055 as filed
212,220 owned after
no price filed$27.502016-04-05
2016-04-01Cue Eduardo H
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−212,224
−53,056 as filed
424,440 owned after
no price filed$27.502016-04-05
2016-03-21WILLIAMS JEFFREY E
Officer (COO)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−2,100,000
−525,000 as filed
0 owned after
no price filed$26.482016-03-23
2016-03-21SEWELL D BRUCE
Officer (SVP, Gen'l Counsel, Secretary)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−2,100,000
−525,000 as filed
0 owned after
no price filed$26.482016-03-23
2016-03-21SCHILLER PHILIP W
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−2,100,000
−525,000 as filed
0 owned after
no price filed$26.482016-03-23
2016-03-04Maestri Luca
Officer (Senior Vice President, CFO)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−133,316
−33,329 as filed
266,628 owned after
no price filed$25.752016-03-08
2016-02-26WAGNER SUSAN
Director
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+10,320
+2,580 as filed
10,320 owned after
$0.00$24.232016-03-01
2016-02-26SUGAR RONALD D
Director
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+10,320
+2,580 as filed
10,320 owned after
$0.00$24.232016-03-01
2016-02-26LEVINSON ARTHUR D
Director
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+10,320
+2,580 as filed
10,320 owned after
$0.00$24.232016-03-01
2016-02-26JUNG ANDREA
Director
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+10,320
+2,580 as filed
10,320 owned after
$0.00$24.232016-03-01
2016-02-26IGER ROBERT A
Director
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+10,320
+2,580 as filed
10,320 owned after
$0.00$24.232016-03-01
2016-02-26GORE ALBERT JR
Director
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+10,320
+2,580 as filed
10,320 owned after
$0.00$24.232016-03-01
2016-02-26BELL JAMES A
Director
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+10,320
+2,580 as filed
10,320 owned after
$0.00$24.232016-03-01
2016-02-15KONDO CHRIS
Officer (Principal Accounting Officer)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−2,700
−675 as filed
13,500 owned after
no price filed$24.012016-02-17
2016-02-01WAGNER SUSAN
Director
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−8,032
−2,008 as filed
0 owned after
no price filed$24.112016-02-03
2016-02-01SUGAR RONALD D
Director
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−8,032
−2,008 as filed
0 owned after
no price filed$24.112016-02-03
2016-02-01LEVINSON ARTHUR D
Director
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−8,032
−2,008 as filed
0 owned after
no price filed$24.112016-02-03
2016-02-01JUNG ANDREA
Director
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−8,032
−2,008 as filed
0 owned after
no price filed$24.112016-02-03
2016-02-01IGER ROBERT A
Director
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−8,032
−2,008 as filed
0 owned after
no price filed$24.112016-02-03
2016-02-01GORE ALBERT JR
Director
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−8,032
−2,008 as filed
0 owned after
no price filed$24.112016-02-03
2016-02-01BELL JAMES A
Director
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−4,028
−1,007 as filed
0 owned after
no price filed$24.112016-02-03