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: 55 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-11-13: Reporting owner Adams Katherine L.; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2019-10-15: Reporting owner O'BRIEN DEIRDRE; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2019-10-15: Reporting owner O'BRIEN DEIRDRE; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2019-10-15: Reporting owner O'BRIEN DEIRDRE; 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 |
|---|---|---|---|---|---|---|---|---|
| 2019-11-13 | Adams Katherine L. Officer (SVP, GC and Secretary) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −57,480 −14,370 as filed 57,480 owned after | no price filed | $66.12 | 2019-11-14 |
| 2019-10-15 | O'BRIEN DEIRDRE Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −29,336 −7,334 as filed 0 owned after | no price filed | $58.83 | 2019-10-17 |
| 2019-10-15 | O'BRIEN DEIRDRE Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −27,628 −6,907 as filed 55,256 owned after | no price filed | $58.83 | 2019-10-17 |
| 2019-10-15 | O'BRIEN DEIRDRE Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,292 −5,573 as filed 89,176 owned after | no price filed | $58.83 | 2019-10-17 |
| 2019-10-15 | O'BRIEN DEIRDRE Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,612 −4,153 as filed 99,672 owned after | no price filed | $58.83 | 2019-10-17 |
| 2019-10-15 | KONDO CHRIS Officer (Principal Accounting Officer) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,576 −2,144 as filed 0 owned after | no price filed | $58.83 | 2019-10-17 |
| 2019-10-15 | KONDO CHRIS Officer (Principal Accounting Officer) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,288 −2,072 as filed 16,576 owned after | no price filed | $58.83 | 2019-10-17 |
| 2019-10-15 | KONDO CHRIS Officer (Principal Accounting Officer) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,368 −1,592 as filed 25,480 owned after | no price filed | $58.83 | 2019-10-17 |
| 2019-10-15 | KONDO CHRIS Officer (Principal Accounting Officer) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,428 −1,107 as filed 26,580 owned after | no price filed | $58.83 | 2019-10-17 |
| 2019-10-01 | WILLIAMS JEFFREY E Officer (COO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −517,232 −129,308 as filed 0 owned after | no price filed | $56.15 | 2019-10-03 |
| 2019-10-01 | Maestri Luca Officer (Senior Vice President, CFO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −517,232 −129,308 as filed 0 owned after | no price filed | $56.15 | 2019-10-03 |
| 2019-09-29 | WILLIAMS JEFFREY E Officer (COO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +182,800 +45,700 as filed 182,800 owned after | $0.00 | $54.71 | 2019-10-01 |
| 2019-09-29 | WILLIAMS JEFFREY E Officer (COO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +182,800 +45,700 as filed 182,800 owned after | $0.00 | $54.71 | 2019-10-01 |
| 2019-09-29 | O'BRIEN DEIRDRE Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +182,800 +45,700 as filed 182,800 owned after | $0.00 | $54.71 | 2019-10-01 |
| 2019-09-29 | O'BRIEN DEIRDRE Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +182,800 +45,700 as filed 182,800 owned after | $0.00 | $54.71 | 2019-10-01 |
| 2019-09-29 | Maestri Luca Officer (Senior Vice President, CFO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +182,800 +45,700 as filed 182,800 owned after | $0.00 | $54.71 | 2019-10-01 |
| 2019-09-29 | Maestri Luca Officer (Senior Vice President, CFO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +182,800 +45,700 as filed 182,800 owned after | $0.00 | $54.71 | 2019-10-01 |
| 2019-09-29 | KONDO CHRIS Officer (Principal Accounting Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +36,560 +9,140 as filed 36,560 owned after | $0.00 | $54.71 | 2019-10-01 |
| 2019-09-29 | Adams Katherine L. Officer (SVP, GC and Secretary) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +182,800 +45,700 as filed 182,800 owned after | $0.00 | $54.71 | 2019-10-01 |
| 2019-09-29 | Adams Katherine L. Officer (SVP, GC and Secretary) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +182,800 +45,700 as filed 182,800 owned after | $0.00 | $54.71 | 2019-10-01 |
| 2019-08-24 | 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 | −2,240,000 −560,000 as filed 7,280,000 owned after | no price filed | $50.66 | 2019-08-27 |
| 2019-04-15 | O'BRIEN DEIRDRE Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −29,336 −7,334 as filed 29,336 owned after | no price filed | $49.81 | 2019-04-17 |
| 2019-04-15 | O'BRIEN DEIRDRE Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −27,632 −6,908 as filed 82,884 owned after | no price filed | $49.81 | 2019-04-17 |
| 2019-04-15 | O'BRIEN DEIRDRE Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,296 −5,574 as filed 111,468 owned after | no price filed | $49.81 | 2019-04-17 |
| 2019-04-15 | O'BRIEN DEIRDRE Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,616 −4,154 as filed 116,284 owned after | no price filed | $49.81 | 2019-04-17 |
| 2019-04-15 | KONDO CHRIS Officer (Principal Accounting Officer) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,576 −2,144 as filed 8,576 owned after | no price filed | $49.81 | 2019-04-17 |
| 2019-04-15 | KONDO CHRIS Officer (Principal Accounting Officer) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,288 −2,072 as filed 24,864 owned after | no price filed | $49.81 | 2019-04-17 |
| 2019-04-15 | KONDO CHRIS Officer (Principal Accounting Officer) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,372 −1,593 as filed 31,848 owned after | no price filed | $49.81 | 2019-04-17 |
| 2019-04-15 | KONDO CHRIS Officer (Principal Accounting Officer) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,432 −1,108 as filed 31,008 owned after | no price filed | $49.81 | 2019-04-17 |
| 2019-04-01 | WILLIAMS JEFFREY E Officer (COO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −163,816 −40,954 as filed 0 owned after | no price filed | $47.81 | 2019-04-03 |
| 2019-04-01 | WILLIAMS JEFFREY E Officer (COO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −144,432 −36,108 as filed 144,428 owned after | no price filed | $47.81 | 2019-04-03 |
| 2019-04-01 | WILLIAMS JEFFREY E Officer (COO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −113,352 −28,338 as filed 226,700 owned after | no price filed | $47.81 | 2019-04-03 |
| 2019-04-01 | Maestri Luca Officer (Senior Vice President, CFO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −163,816 −40,954 as filed 0 owned after | no price filed | $47.81 | 2019-04-03 |
| 2019-04-01 | Maestri Luca Officer (Senior Vice President, CFO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −144,432 −36,108 as filed 144,428 owned after | no price filed | $47.81 | 2019-04-03 |
| 2019-04-01 | Maestri Luca Officer (Senior Vice President, CFO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −113,352 −28,338 as filed 226,700 owned after | no price filed | $47.81 | 2019-04-03 |
| 2019-03-01 | WAGNER SUSAN Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,716 +1,429 as filed 5,716 owned after | $0.00 | $43.74 | 2019-03-05 |
| 2019-03-01 | SUGAR RONALD D Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,716 +1,429 as filed 5,716 owned after | $0.00 | $43.74 | 2019-03-05 |
| 2019-03-01 | LEVINSON ARTHUR D Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,716 +1,429 as filed 5,716 owned after | $0.00 | $43.74 | 2019-03-05 |
| 2019-03-01 | JUNG ANDREA Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,716 +1,429 as filed 5,716 owned after | $0.00 | $43.74 | 2019-03-05 |
| 2019-03-01 | IGER ROBERT A Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,716 +1,429 as filed 5,716 owned after | $0.00 | $43.74 | 2019-03-05 |
| 2019-03-01 | GORE ALBERT JR Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,716 +1,429 as filed 5,716 owned after | $0.00 | $43.74 | 2019-03-05 |
| 2019-03-01 | BELL JAMES A Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,716 +1,429 as filed 5,716 owned after | $0.00 | $43.74 | 2019-03-05 |
| 2019-02-07 holding as of filing | O'BRIEN DEIRDRE Officer (Senior Vice President) | 3 | Restricted Stock Unit Derivative · Direct | Holding | no price filed | 2019-02-07 | ||
| 2019-02-07 holding as of filing | O'BRIEN DEIRDRE Officer (Senior Vice President) | 3 | Restricted Stock Unit Derivative · Direct | Holding | no price filed | 2019-02-07 | ||
| 2019-02-07 holding as of filing | O'BRIEN DEIRDRE Officer (Senior Vice President) | 3 | Restricted Stock Unit Derivative · Direct | Holding | no price filed | 2019-02-07 | ||
| 2019-02-07 holding as of filing | O'BRIEN DEIRDRE Officer (Senior Vice President) | 3 | Restricted Stock Unit Derivative · Direct | Holding | no price filed | 2019-02-07 | ||
| 2019-02-05 | O'BRIEN DEIRDRE Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +95,688 +23,922 as filed 95,688 owned after | $0.00 | $43.54 | 2019-02-07 |
| 2019-02-05 | O'BRIEN DEIRDRE Officer (Senior Vice President) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +95,688 +23,922 as filed 95,688 owned after | $0.00 | $43.54 | 2019-02-07 |
| 2019-02-01 | WAGNER SUSAN Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,084 −1,521 as filed 0 owned after | no price filed | $41.63 | 2019-02-05 |
| 2019-02-01 | SUGAR RONALD D Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,084 −1,521 as filed 0 owned after | no price filed | $41.63 | 2019-02-05 |
| 2019-02-01 | LEVINSON ARTHUR D Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,084 −1,521 as filed 0 owned after | no price filed | $41.63 | 2019-02-05 |
| 2019-02-01 | JUNG ANDREA Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,084 −1,521 as filed 0 owned after | no price filed | $41.63 | 2019-02-05 |
| 2019-02-01 | IGER ROBERT A Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,084 −1,521 as filed 0 owned after | no price filed | $41.63 | 2019-02-05 |
| 2019-02-01 | GORE ALBERT JR Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,084 −1,521 as filed 0 owned after | no price filed | $41.63 | 2019-02-05 |
| 2019-02-01 | BELL JAMES A Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,084 −1,521 as filed 0 owned after | no price filed | $41.63 | 2019-02-05 |