SEC FORM 4

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

WILLIAMS JEFFREY E

(Last)

(First)

(Middle)

ONE APPLE PARK WAY

(Street)

CUPERTINO

95014

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
Apple Inc. [ AAPL ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	COO

3. Date of Earliest Transaction (Month/Day/Year)
04/01/2020

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	04/01/2020		M		85,678	A	⁽¹⁾	194,007⁽²⁾	D
Common Stock⁽³⁾	04/01/2020		F		44,616	D	$240.91	149,391	D
Common Stock⁽⁴⁾	04/02/2020		S		3,849	D	$238.03⁽⁵⁾	145,542	D
Common Stock⁽⁴⁾	04/02/2020		S		3,039	D	$238.96⁽⁶⁾	142,503	D
Common Stock⁽⁴⁾	04/02/2020		S		5,266	D	$240.2⁽⁷⁾	137,237	D
Common Stock⁽⁴⁾	04/02/2020		S		7,454	D	$241.24⁽⁸⁾	129,783	D
Common Stock⁽⁴⁾	04/02/2020		S		13,783	D	$242.3⁽⁹⁾	116,000	D
Common Stock⁽⁴⁾	04/02/2020		S		4,449	D	$243.03⁽¹⁰⁾	111,551	D
Common Stock⁽⁴⁾	04/02/2020		S		2,377	D	$244.36⁽¹¹⁾	109,174	D
Common Stock⁽⁴⁾	04/02/2020		S		845	D	$244.98⁽¹²⁾	108,329	D
Common Stock								13,986	I	By Trust

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Restricted Stock Unit	⁽¹⁾	04/01/2020		M			36,107	⁽¹³⁾	⁽¹³⁾	Common Stock	36,107	⁽¹⁾	0	D
Restricted Stock Unit	⁽¹⁾	04/01/2020		M			28,338	⁽¹⁴⁾	⁽¹⁴⁾	Common Stock	28,338	⁽¹⁾	28,337	D
Restricted Stock Unit	⁽¹⁾	04/01/2020		M			21,233	⁽¹⁵⁾	⁽¹⁵⁾	Common Stock	21,233	⁽¹⁾	42,466	D

Explanation of Responses:

1. Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

2. The number of securities reported reflects the acquisition on January 31, 2020 of 120 shares of Apple Inc.'s common stock pursuant to the Apple Inc. Amended Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of August 1, 2019 through January 31, 2020.

3. Shares withheld by Apple to satisfy tax withholding requirements on vesting of restricted stock units.

4. This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 18, 2019.

5. This transaction was executed in multiple trades at prices ranging from $237.44 to $238.43; 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.

6. This transaction was executed in multiple trades at prices ranging from $238.44 to $239.34; 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.

7. This transaction was executed in multiple trades at prices ranging from $239.59 to $240.57; 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.

8. This transaction was executed in multiple trades at prices ranging from $240.59 to $241.49; 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.

9. This transaction was executed in multiple trades at prices ranging from $241.74 to $242.73; 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.

10. This transaction was executed in multiple trades at prices ranging from $242.74 to $243.705; 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.

11. This transaction was executed in multiple trades at prices ranging from $243.81 to $244.57; 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.

12. This transaction was executed in multiple trades at prices ranging from $244.97 to $244.985; 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.

13. This award was granted on October 5, 2015. 36,108 restricted stock units subject to the award vested on each of April 1, 2018 and April 1, 2019 and 36,107 restricted stock units vested on April 1, 2020.

14. This award was granted on October 14, 2016. 28,338 restricted stock units subject to the award vested on each of April 1, 2019 and April 1, 2020 and 28,337 restricted stock units are scheduled to vest on April 1, 2021, assuming continued employment through the applicable vesting date.

15. This award was granted on October 15, 2017. 21,233 restricted stock units subject to the award vested on April 1, 2020 and 21,233 restricted stock units are scheduled to vest on each of April 1, 2021 and April 1, 2022, assuming continued employment through the applicable vesting date.

Remarks:

	/s/ Sam Whittington, Attorney-in-Fact for Jeffrey E. Williams	04/03/2020
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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