Adams Katherine L.'s Form 4 filing
Apple Inc. (AAPL) · filed Apr 4, 2023
- Accession no.
- 0000320193-23-000047
- Filed
- Apr 4, 2023
- Trade date
- Dec 9, 2022-Apr 3, 2023
- Filing delay
- 116 daysLate
- Rule 10b5-1 plan
- Checked
This filing lists 5 non-derivative transactions and 3 derivative transactions. Open-market sales total $11.9M. It was filed 116 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| Adams Katherine L.CIK 0001462356 | Officer (SVP, GC and Secretary) |
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 |
|---|---|---|---|---|---|---|---|---|
| Dec 9, 2022 | Common Stock | GGiftDisposed | −2,275 | $0.00 | $0 | 425,059 | Direct | |
| Apr 1, 2023 | Common Stock | MOption exerciseAcquired | +149,684 | –F1 | – | 574,897 | Direct | |
| Apr 1, 2023 | Common Stock | FTax withholdingDisposed | −77,459 | $164.90 | −$12,772,989.1 | 497,438 | Direct | |
| Apr 3, 2023 | Common Stock | SSaleDisposed | −33,407 | $164.71F5 | −$5,502,466.97 | 464,031 | Direct | |
| Apr 3, 2023 | Common Stock | SSaleDisposed | −38,818 | $165.81F6 | −$6,436,412.58 | 425,213 | 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.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Apr 1, 2023 | Common Stock | MOption exerciseDisposed | −59,064 | –F1 | – | 0 | Direct | |
| Apr 1, 2023 | Common Stock | MOption exerciseDisposed | −60,932 | –F1 | – | 60,932 | Direct | |
| Apr 1, 2023 | Common Stock | MOption exerciseDisposed | −29,688 | –F1 | – | 59,376 | Direct |
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 ("RSU") represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of RSUs in shares of common stock on their scheduled vesting date.
Referenced by the price of 1 transaction in Table I and 3 transactions in Table II.
- F5
This transaction was executed in multiple trades at prices ranging from $164.33 to $165.32; 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.
- F6
This transaction was executed in multiple trades at prices ranging from $165.33 to $166.28; 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.