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: 52 rows in 2021. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-11-09: Reporting owner Gorsky Alex; Form 4; Security Restricted Stock Unit; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-10-15: 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.
- 2021-10-15: 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.
- 2021-10-15: Reporting owner KONDO CHRIS; 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 |
|---|---|---|---|---|---|---|---|---|
| 2021-11-09 | Gorsky Alex Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +486 486 owned after | $0.00 | $150.81 | 2021-11-12 |
| 2021-10-15 | 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 0 owned after | no price filed | $144.84 | 2021-10-19 |
| 2021-10-15 | 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 33,224 owned after | no price filed | $144.84 | 2021-10-19 |
| 2021-10-15 | 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 0 owned after | no price filed | $144.84 | 2021-10-19 |
| 2021-10-15 | 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 8,860 owned after | no price filed | $144.84 | 2021-10-19 |
| 2021-10-15 | 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 18,280 owned after | no price filed | $144.84 | 2021-10-19 |
| 2021-10-15 | 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 | −2,227 13,359 owned after | no price filed | $144.84 | 2021-10-19 |
| 2021-10-01 | WILLIAMS JEFFREY E Officer (COO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −354,392 0 owned after | no price filed | $142.65 | 2021-10-05 |
| 2021-10-01 | 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 | −191,376 0 owned after | no price filed | $142.65 | 2021-10-05 |
| 2021-10-01 | 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 | −354,392 0 owned after | no price filed | $142.65 | 2021-10-05 |
| 2021-10-01 | 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 | −354,392 0 owned after | no price filed | $142.65 | 2021-10-05 |
| 2021-09-26 | WILLIAMS JEFFREY E Officer (COO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +68,065 68,065 owned after | $0.00 | $146.92 | 2021-09-28 |
| 2021-09-26 | WILLIAMS JEFFREY E Officer (COO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +68,065 68,065 owned after | $0.00 | $146.92 | 2021-09-28 |
| 2021-09-26 | 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) | +68,065 68,065 owned after | $0.00 | $146.92 | 2021-09-28 |
| 2021-09-26 | 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) | +68,065 68,065 owned after | $0.00 | $146.92 | 2021-09-28 |
| 2021-09-26 | 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) | +68,065 68,065 owned after | $0.00 | $146.92 | 2021-09-28 |
| 2021-09-26 | 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) | +68,065 68,065 owned after | $0.00 | $146.92 | 2021-09-28 |
| 2021-09-26 | KONDO CHRIS Officer (Principal Accounting Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,315 15,315 owned after | $0.00 | $146.92 | 2021-09-28 |
| 2021-09-26 | 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) | +255,241 255,241 owned after | $0.00 | $146.92 | 2021-09-28 |
| 2021-09-26 | 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) | +255,241 255,241 owned after | $0.00 | $146.92 | 2021-09-28 |
| 2021-09-26 | 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) | +68,065 68,065 owned after | $0.00 | $146.92 | 2021-09-28 |
| 2021-09-26 | 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) | +68,065 68,065 owned after | $0.00 | $146.92 | 2021-09-28 |
| 2021-08-24 | 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 | −5,040,000 0 owned after | no price filed | $149.62 | 2021-08-26 |
| 2021-08-05 | 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 | −31,896 63,792 owned after | no price filed | $147.06 | 2021-08-09 |
| 2021-04-15 | 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 22,292 owned after | no price filed | $134.50 | 2021-04-19 |
| 2021-04-15 | 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 49,836 owned after | no price filed | $134.50 | 2021-04-19 |
| 2021-04-15 | 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 6,368 owned after | no price filed | $134.50 | 2021-04-19 |
| 2021-04-15 | 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 13,288 owned after | no price filed | $134.50 | 2021-04-19 |
| 2021-04-15 | 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 22,848 owned after | no price filed | $134.50 | 2021-04-19 |
| 2021-04-15 | 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 | −2,227 15,586 owned after | no price filed | $134.50 | 2021-04-19 |
| 2021-04-01 | WILLIAMS JEFFREY E Officer (COO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −113,348 0 owned after | no price filed | $123.00 | 2021-04-05 |
| 2021-04-01 | 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 84,932 owned after | no price filed | $123.00 | 2021-04-05 |
| 2021-04-01 | WILLIAMS JEFFREY E Officer (COO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −59,068 118,128 owned after | no price filed | $123.00 | 2021-04-05 |
| 2021-04-01 | 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 | −113,348 0 owned after | no price filed | $123.00 | 2021-04-05 |
| 2021-04-01 | 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 84,932 owned after | no price filed | $123.00 | 2021-04-05 |
| 2021-04-01 | 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 | −59,068 118,128 owned after | no price filed | $123.00 | 2021-04-05 |
| 2021-04-01 | 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 | −59,068 118,128 owned after | no price filed | $123.00 | 2021-04-05 |
| 2021-02-23 | WAGNER SUSAN Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,986 1,986 owned after | $0.00 | $125.86 | 2021-02-25 |
| 2021-02-23 | SUGAR RONALD D Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,986 1,986 owned after | $0.00 | $125.86 | 2021-02-25 |
| 2021-02-23 | LOZANO MONICA C Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,986 1,986 owned after | $0.00 | $125.86 | 2021-02-25 |
| 2021-02-23 | LEVINSON ARTHUR D Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,986 1,986 owned after | $0.00 | $125.86 | 2021-02-25 |
| 2021-02-23 | JUNG ANDREA Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,986 1,986 owned after | $0.00 | $125.86 | 2021-02-25 |
| 2021-02-23 | GORE ALBERT JR Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,986 1,986 owned after | $0.00 | $125.86 | 2021-02-25 |
| 2021-02-23 | BELL JAMES A Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,986 1,986 owned after | $0.00 | $125.86 | 2021-02-25 |
| 2021-02-01 | WAGNER SUSAN Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,416 0 owned after | no price filed | $134.14 | 2021-02-03 |
| 2021-02-01 | SUGAR RONALD D Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,416 0 owned after | no price filed | $134.14 | 2021-02-03 |
| 2021-02-01 | LOZANO MONICA C Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −281 0 owned after | no price filed | $134.14 | 2021-02-03 |
| 2021-02-01 | LEVINSON ARTHUR D Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,416 0 owned after | no price filed | $134.14 | 2021-02-03 |
| 2021-02-01 | JUNG ANDREA Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,416 0 owned after | no price filed | $134.14 | 2021-02-03 |
| 2021-02-01 | GORE ALBERT JR Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,416 0 owned after | no price filed | $134.14 | 2021-02-03 |
| 2021-02-01 | BELL JAMES A Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,416 0 owned after | no price filed | $134.14 | 2021-02-03 |
| 2021-01-04 | LOZANO MONICA C Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +281 281 owned after | $0.00 | $129.41 | 2021-01-05 |