O'Brien Deirdre's Form 4 filing
Apple Inc. (AAPL) · filed Oct 19, 2021
- Accession no.
- 0000320193-21-000097
- Filed
- Oct 19, 2021
- Trade date
- Oct 15-18, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $2.67M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| O'Brien DeirdreCIK 0001767094 | Officer (Senior Vice President) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 15, 2021 | Common Stock | MOption exerciseAcquired | +38,904 | –F1 | – | 175,022 | Direct | |
| Oct 15, 2021 | Common Stock | FTax withholdingDisposed | −20,657 | $144.84 | −$2,991,959.88 | 154,365 | Direct | |
| Oct 18, 2021 | Common Stock | SSaleDisposed | −17,108 | $146.32F4 | −$2,503,242.56 | 137,257 | Direct | |
| Oct 18, 2021 | Common Stock | SSaleDisposed | −1,139 | $146.75F5 | −$167,148.25 | 136,118 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.
Referenced by the price of 1 transaction in Table I and 2 transactions in Table II.
- F4
This transaction was executed in multiple trades at prices ranging from $145.74 to $146.735; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, Apple, or a security holder of Apple.
Referenced by the price of 1 transaction in Table I.
- F5
This transaction was executed in multiple trades at prices ranging from $146.745 to $146.765; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, Apple, or a security holder of Apple.
Referenced by the price of 1 transaction in Table I.