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Apple Inc. (AAPL) Forms 3, 4 and 5: Restricted Stock Units and Performance Rights, 2017

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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 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.

  • 2017-11-13: Reporting owner Adams Katherine L.; Form 4; Security Restricted Stock Unit; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
  • 2017-11-13: Reporting owner Adams Katherine L.; Form 4; Security Restricted Stock Unit; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
  • 2017-10-15: Reporting owner WILLIAMS JEFFREY E; Form 4; Security Restricted Stock Unit; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
  • 2017-10-15: Reporting owner Srouji Johny; Form 4; Security Restricted Stock Unit; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
Transaction dateReporting ownerFormSecurityTransactionSharesPricePrice that dayFiling
2017-11-13Adams Katherine L.
Officer (SVP, General Counsel)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+229,928
+57,482 as filed
229,928 owned after
$0.00$43.492017-11-15
2017-11-13Adams Katherine L.
Officer (SVP, General Counsel)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+229,928
+57,482 as filed
229,928 owned after
$0.00$43.492017-11-15
2017-10-15WILLIAMS JEFFREY E
Officer (COO)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+254,796
+63,699 as filed
254,796 owned after
$0.00$39.252017-10-17
2017-10-15Srouji Johny
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+254,796
+63,699 as filed
254,796 owned after
$0.00$39.252017-10-17
2017-10-15Srouji Johny
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−53,792
−13,448 as filed
0 owned after
no price filed$39.252017-10-17
2017-10-15Srouji 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
74,456 owned after
no price filed$39.252017-10-17
2017-10-15Srouji 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
180,536 owned after
no price filed$39.252017-10-17
2017-10-15SCHILLER PHILIP W
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+254,796
+63,699 as filed
254,796 owned after
$0.00$39.252017-10-17
2017-10-15Riccio Daniel J.
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+254,796
+63,699 as filed
254,796 owned after
$0.00$39.252017-10-17
2017-10-15Maestri Luca
Officer (Senior Vice President, CFO)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+254,796
+63,699 as filed
254,796 owned after
$0.00$39.252017-10-17
2017-10-15Maestri 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
0 owned after
no price filed$39.252017-10-17
2017-10-15KONDO CHRIS
Officer (Principal Accounting Officer)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+50,960
+12,740 as filed
50,960 owned after
$0.00$39.252017-10-17
2017-10-15KONDO CHRIS
Officer (Principal Accounting Officer)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−3,760
−940 as filed
0 owned after
no price filed$39.252017-10-17
2017-10-15KONDO 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
7,940 owned after
no price filed$39.252017-10-17
2017-10-15KONDO 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
34,304 owned after
no price filed$39.252017-10-17
2017-10-15KONDO CHRIS
Officer (Principal Accounting Officer)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−8,288
−2,072 as filed
49,732 owned after
no price filed$39.252017-10-17
2017-10-15FEDERIGHI CRAIG
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+254,796
+63,699 as filed
254,796 owned after
$0.00$39.252017-10-17
2017-10-15Cue Eduardo H
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+254,796
+63,699 as filed
254,796 owned after
$0.00$39.252017-10-17
2017-10-15AHRENDTS ANGELA J
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+254,796
+63,699 as filed
254,796 owned after
$0.00$39.252017-10-17
2017-10-01WILLIAMS JEFFREY E
Officer (COO)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+259,540
+64,885 as filed
259,540 owned after
$0.00$38.532017-10-17
2017-10-01Srouji Johny
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+259,540
+64,885 as filed
259,540 owned after
$0.00$38.532017-10-17
2017-10-01SCHILLER PHILIP W
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+259,540
+64,885 as filed
259,540 owned after
$0.00$38.532017-10-17
2017-10-01Riccio Daniel J.
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+259,540
+64,885 as filed
259,540 owned after
$0.00$38.532017-10-17
2017-10-01Maestri Luca
Officer (Senior Vice President, CFO)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+259,540
+64,885 as filed
259,540 owned after
$0.00$38.532017-10-17
2017-10-01FEDERIGHI CRAIG
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+259,540
+64,885 as filed
259,540 owned after
$0.00$38.532017-10-17
2017-10-01Cue Eduardo H
Officer (Senior Vice President)
4Restricted Stock Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+259,540
+64,885 as filed
259,540 owned after
$0.00$38.532017-10-17
2017-10-01AHRENDTS ANGELA J
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+259,540
+64,885 as filed
259,540 owned after
$0.00$38.532017-10-17
2017-10-01WILLIAMS JEFFREY E
Officer (COO)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−501,976
−125,494 as filed
0 owned after
no price filed$38.532017-10-03
2017-10-01SEWELL 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-3−501,976
−125,494 as filed
0 owned after
no price filed$38.532017-10-03
2017-10-01SCHILLER PHILIP W
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−501,976
−125,494 as filed
0 owned after
no price filed$38.532017-10-03
2017-10-01Riccio Daniel J.
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−501,976
−125,494 as filed
0 owned after
no price filed$38.532017-10-03
2017-10-01Maestri Luca
Officer (Senior Vice President, CFO)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−501,976
−125,494 as filed
0 owned after
no price filed$38.532017-10-03
2017-10-01FEDERIGHI CRAIG
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−501,976
−125,494 as filed
0 owned after
no price filed$38.532017-10-03
2017-10-01Cue Eduardo H
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−501,976
−125,494 as filed
0 owned after
no price filed$38.532017-10-03
2017-10-01AHRENDTS ANGELA J
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−501,976
−125,494 as filed
0 owned after
no price filed$38.532017-10-03
2017-08-24COOK TIMOTHY D
Director, Officer (Chief Executive Officer)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−2,240,000
−560,000 as filed
11,760,000 owned after
no price filed$39.822017-08-28
2017-08-15KONDO 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
5,400 owned after
no price filed$40.402017-08-17
2017-06-14AHRENDTS ANGELA J
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−52,556
−13,139 as filed
52,528 owned after
no price filed$36.292017-06-16
2017-05-29Maestri Luca
Officer (Senior Vice President, CFO)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−38,200
−9,550 as filed
38,200 owned after
no price filed$38.862017-05-31
2017-05-01AHRENDTS ANGELA J
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−312,440
−78,110 as filed
0 owned after
no price filed$36.652017-05-03
2017-05-01AHRENDTS ANGELA J
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−321,832
−80,458 as filed
0 owned after
no price filed$36.652017-05-03
2017-04-15Srouji 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
53,792 owned after
no price filed$35.262017-04-18
2017-04-15Srouji 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
111,684 owned after
no price filed$35.262017-04-18
2017-04-15Srouji 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
225,672 owned after
no price filed$35.262017-04-18
2017-04-15Maestri 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
50,232 owned after
no price filed$35.262017-04-18
2017-04-15KONDO 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
3,760 owned after
no price filed$35.262017-04-18
2017-04-15KONDO 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
11,912 owned after
no price filed$35.262017-04-18
2017-04-15KONDO 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
42,880 owned after
no price filed$35.262017-04-18
2017-04-15KONDO CHRIS
Officer (Principal Accounting Officer)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−8,292
−2,073 as filed
58,020 owned after
no price filed$35.262017-04-18
2017-04-01WILLIAMS JEFFREY E
Officer (COO)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−212,220
−53,055 as filed
212,220 owned after
no price filed$35.922017-04-04
2017-04-01WILLIAMS JEFFREY E
Officer (COO)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−163,820
−40,955 as filed
327,632 owned after
no price filed$35.922017-04-04
2017-04-01SEWELL 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-3−212,220
−53,055 as filed
212,220 owned after
no price filed$35.922017-04-04
2017-04-01SEWELL 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-3−163,820
−40,955 as filed
327,632 owned after
no price filed$35.922017-04-04
2017-04-01SCHILLER PHILIP W
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−212,220
−53,055 as filed
212,220 owned after
no price filed$35.922017-04-04
2017-04-01SCHILLER PHILIP W
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−163,820
−40,955 as filed
327,632 owned after
no price filed$35.922017-04-04
2017-04-01Riccio Daniel J.
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−212,220
−53,055 as filed
212,220 owned after
no price filed$35.922017-04-04
2017-04-01Riccio Daniel J.
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−163,820
−40,955 as filed
327,632 owned after
no price filed$35.922017-04-04
2017-04-01Maestri Luca
Officer (Senior Vice President, CFO)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−163,820
−40,955 as filed
327,632 owned after
no price filed$35.922017-04-04
2017-04-01FEDERIGHI 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
0 owned after
no price filed$35.922017-04-04
2017-04-01FEDERIGHI CRAIG
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−163,820
−40,955 as filed
327,632 owned after
no price filed$35.922017-04-04
2017-04-01Cue Eduardo H
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−212,220
−53,055 as filed
212,220 owned after
no price filed$35.922017-04-04
2017-04-01Cue Eduardo H
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−163,820
−40,955 as filed
327,632 owned after
no price filed$35.922017-04-04
2017-04-01AHRENDTS ANGELA J
Officer (Senior Vice President)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−163,820
−40,955 as filed
327,632 owned after
no price filed$35.922017-04-04
2017-03-04Maestri Luca
Officer (Senior Vice President, CFO)
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−133,312
−33,328 as filed
0 owned after
no price filed$34.952017-03-07
2017-02-28WAGNER SUSAN
Director
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+7,300
+1,825 as filed
7,300 owned after
$0.00$34.252017-03-02
2017-02-28SUGAR RONALD D
Director
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+7,300
+1,825 as filed
7,300 owned after
$0.00$34.252017-03-02
2017-02-28LEVINSON ARTHUR D
Director
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+7,300
+1,825 as filed
7,300 owned after
$0.00$34.252017-03-02
2017-02-28JUNG ANDREA
Director
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+7,300
+1,825 as filed
7,300 owned after
$0.00$34.252017-03-02
2017-02-28IGER ROBERT A
Director
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+7,300
+1,825 as filed
7,300 owned after
$0.00$34.252017-03-02
2017-02-28GORE ALBERT JR
Director
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+7,300
+1,825 as filed
7,300 owned after
$0.00$34.252017-03-02
2017-02-28BELL JAMES A
Director
4Restricted Stock Unit
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+7,300
+1,825 as filed
7,300 owned after
$0.00$34.252017-03-02
2017-02-15KONDO 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
8,100 owned after
no price filed$33.882017-02-17
2017-02-01WAGNER SUSAN
Director
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−10,320
−2,580 as filed
0 owned after
no price filed$32.192017-02-03
2017-02-01SUGAR RONALD D
Director
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−10,320
−2,580 as filed
0 owned after
no price filed$32.192017-02-03
2017-02-01LEVINSON ARTHUR D
Director
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−10,320
−2,580 as filed
0 owned after
no price filed$32.192017-02-03
2017-02-01JUNG ANDREA
Director
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−10,320
−2,580 as filed
0 owned after
no price filed$32.192017-02-03
2017-02-01IGER ROBERT A
Director
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−10,320
−2,580 as filed
0 owned after
no price filed$32.192017-02-03
2017-02-01GORE ALBERT JR
Director
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−10,320
−2,580 as filed
0 owned after
no price filed$32.192017-02-03
2017-02-01BELL JAMES A
Director
4Restricted Stock Unit
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−10,320
−2,580 as filed
0 owned after
no price filed$32.192017-02-03