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 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-11-13: 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.
- 2020-10-15: 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.
- 2020-10-15: 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.
- 2020-10-15: 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 |
|---|---|---|---|---|---|---|---|---|
| 2020-11-13 | 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 0 owned after | no price filed | $119.26 | 2020-11-17 |
| 2020-10-15 | 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 0 owned after | no price filed | $120.71 | 2020-10-19 |
| 2020-10-15 | 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 44,588 owned after | no price filed | $120.71 | 2020-10-19 |
| 2020-10-15 | 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 66,448 owned after | no price filed | $120.71 | 2020-10-19 |
| 2020-10-15 | 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 0 owned after | no price filed | $120.71 | 2020-10-19 |
| 2020-10-15 | 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 12,740 owned after | no price filed | $120.71 | 2020-10-19 |
| 2020-10-15 | 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 17,720 owned after | no price filed | $120.71 | 2020-10-19 |
| 2020-10-15 | 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 | −4,568 27,420 owned after | no price filed | $120.71 | 2020-10-19 |
| 2020-10-01 | WILLIAMS JEFFREY E Officer (COO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −519,080 0 owned after | no price filed | $116.79 | 2020-10-05 |
| 2020-10-01 | 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 | −519,080 0 owned after | no price filed | $116.79 | 2020-10-05 |
| 2020-10-01 | 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 | −459,856 0 owned after | no price filed | $116.79 | 2020-10-05 |
| 2020-09-27 | WILLIAMS JEFFREY E Officer (COO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +89,064 89,064 owned after | $0.00 | $112.28 | 2020-09-29 |
| 2020-09-27 | WILLIAMS JEFFREY E Officer (COO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +89,064 89,064 owned after | $0.00 | $112.28 | 2020-09-29 |
| 2020-09-27 | 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) | +89,064 89,064 owned after | $0.00 | $112.28 | 2020-09-29 |
| 2020-09-27 | 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) | +89,064 89,064 owned after | $0.00 | $112.28 | 2020-09-29 |
| 2020-09-27 | 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) | +89,064 89,064 owned after | $0.00 | $112.28 | 2020-09-29 |
| 2020-09-27 | 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) | +89,064 89,064 owned after | $0.00 | $112.28 | 2020-09-29 |
| 2020-09-27 | KONDO CHRIS Officer (Principal Accounting Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,813 17,813 owned after | $0.00 | $112.28 | 2020-09-29 |
| 2020-09-27 | COOK TIMOTHY D Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +333,987 333,987 owned after | $0.00 | $112.28 | 2020-09-29 |
| 2020-09-27 | COOK TIMOTHY D Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +333,987 333,987 owned after | $0.00 | $112.28 | 2020-09-29 |
| 2020-09-27 | 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) | +89,064 89,064 owned after | $0.00 | $112.28 | 2020-09-29 |
| 2020-09-27 | 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) | +89,064 89,064 owned after | $0.00 | $112.28 | 2020-09-29 |
| 2020-08-24 | 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 5,040,000 owned after | no price filed | $125.86 | 2020-08-25 |
| 2020-04-15 | 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 | −27,628 −6,907 as filed 27,628 owned after | no price filed | $71.11 | 2020-04-17 |
| 2020-04-15 | 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 66,880 owned after | no price filed | $71.11 | 2020-04-17 |
| 2020-04-15 | 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 | −16,612 −4,153 as filed 83,060 owned after | no price filed | $71.11 | 2020-04-17 |
| 2020-04-15 | 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 8,288 owned after | no price filed | $71.11 | 2020-04-17 |
| 2020-04-15 | 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 19,108 owned after | no price filed | $71.11 | 2020-04-17 |
| 2020-04-15 | 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 22,148 owned after | no price filed | $71.11 | 2020-04-17 |
| 2020-04-15 | 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 | −4,572 −1,143 as filed 31,988 owned after | no price filed | $71.11 | 2020-04-17 |
| 2020-04-01 | WILLIAMS JEFFREY E Officer (COO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −144,428 −36,107 as filed 0 owned after | no price filed | $60.23 | 2020-04-03 |
| 2020-04-01 | 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 113,348 owned after | no price filed | $60.23 | 2020-04-03 |
| 2020-04-01 | WILLIAMS JEFFREY E Officer (COO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −84,932 −21,233 as filed 169,864 owned after | no price filed | $60.23 | 2020-04-03 |
| 2020-04-01 | 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 | −144,428 −36,107 as filed 0 owned after | no price filed | $60.23 | 2020-04-03 |
| 2020-04-01 | 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 113,348 owned after | no price filed | $60.23 | 2020-04-03 |
| 2020-04-01 | 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 | −84,932 −21,233 as filed 169,864 owned after | no price filed | $60.23 | 2020-04-03 |
| 2020-02-26 | WAGNER SUSAN Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,416 +854 as filed 3,416 owned after | $0.00 | $73.16 | 2020-02-28 |
| 2020-02-26 | SUGAR RONALD D Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,416 +854 as filed 3,416 owned after | $0.00 | $73.16 | 2020-02-28 |
| 2020-02-26 | GORE ALBERT JR Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,416 +854 as filed 3,416 owned after | $0.00 | $73.16 | 2020-02-28 |
| 2020-02-26 | BELL JAMES A Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,416 +854 as filed 3,416 owned after | $0.00 | $73.16 | 2020-02-28 |
| 2020-02-01 | WAGNER SUSAN Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,716 −1,429 as filed 0 owned after | no price filed | $77.38 | 2020-02-04 |
| 2020-02-01 | SUGAR RONALD D Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,716 −1,429 as filed 0 owned after | no price filed | $77.38 | 2020-02-04 |
| 2020-02-01 | LEVINSON ARTHUR D Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,716 −1,429 as filed 0 owned after | no price filed | $77.38 | 2020-02-04 |
| 2020-02-01 | JUNG ANDREA Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,716 −1,429 as filed 0 owned after | no price filed | $77.38 | 2020-02-04 |
| 2020-02-01 | GORE ALBERT JR Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,716 −1,429 as filed 0 owned after | no price filed | $77.38 | 2020-02-04 |
| 2020-02-01 | BELL JAMES A Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,716 −1,429 as filed 0 owned after | no price filed | $77.38 | 2020-02-04 |