0000929887-13-000033.txt : 20130617 0000929887-13-000033.hdr.sgml : 20130617 20130617174449 ACCESSION NUMBER: 0000929887-13-000033 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130325 FILED AS OF DATE: 20130617 DATE AS OF CHANGE: 20130617 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: APOLLO GROUP INC CENTRAL INDEX KEY: 0000929887 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-EDUCATIONAL SERVICES [8200] IRS NUMBER: 860419443 STATE OF INCORPORATION: AZ FISCAL YEAR END: 0831 BUSINESS ADDRESS: STREET 1: 4615 EAST ELWOOD ST CITY: PHOENIX STATE: AZ ZIP: 85040 BUSINESS PHONE: 6029665394 MAIL ADDRESS: STREET 1: 4615 E ELWOOD STREET CITY: PHOENIX STATE: AZ ZIP: 85040 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Newton Frederick James CENTRAL INDEX KEY: 0001494320 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-25232 FILM NUMBER: 13917635 MAIL ADDRESS: STREET 1: 4025 S. RIVERPOINT PKWY. STREET 2: MS CF-KX04 CITY: PHOENIX STATE: AZ ZIP: 85040 4/A 1 wf-form4a_137150547880202.xml FORM 4/A X0306 4/A 2013-03-25 2013-03-27 0 0000929887 APOLLO GROUP INC APOL 0001494320 Newton Frederick James 4025 S. RIVERPOINT PKWY PHOENIX AZ 85040 0 1 0 0 SR VP, Chief HR Officer Class A Common Stock 2013-03-25 4 F 0 695 18.25 D 41015 D The previously reported transaction is being reported again in order to correct a typographical error in the footnotes to the original filing. Represents shares of the Issuer's Class A common stock withheld to satisfy the Issuer's tax withholding obligation upon the vesting of restricted stock units (RSUs) and the issuance of the underlying shares of Class A common stock. Includes (i) 4,130 shares of the Issuer's Class A common stock subject to the RSUs granted July 2, 2012, (ii) 13,484 shares of the Issuer's Class A common stock subject to the RSUs granted July 2, 2012, (iii) 6,636 shares of the Issuer's Class A common stock subject to the RSUs granted July 6, 2011, (iv) 4,728 shares of the Issuer's Class A common stock subject to RSUs granted January 14, 2011, and (v) 2,514 shares of the Issuer's Class A common stock subject to RSUs granted July 6, 2010. The 4,130 shares underlying the July 2, 2012 RSUs listed in (i) above will be issued when those units vest (subject to an initial performance-vesting requirement) in three successive installments over the Reporting Person's period of service with the Issuer as follows: 20% of the RSUs will vest upon the Reporting Person's continuation in service with the Issuer through August 31, 2013, (footnote continued below) (continued from footnote 3 above) and the balance will vest in two successive equal annual installments upon the Reporting Person's continuation in service with the Issuer through each of the July 2, 2014 and July 2, 2015 vesting dates. The 13,484 shares underlying the July 2, 2012 RSUs listed in (ii) above will be issued when those units vest (subject to an initial performance-vesting requirement) in a series of four successive equal installments upon the Reporting Person's continuation in service with the Issuer through each of the August 31, 2013, July 2, 2014, July 2, 2015, and July 2, 2016 vesting dates. The 6,636 shares underlying the July 6, 2011 RSUs will be issued when those units vest in a series of three successive equal annual installments upon the Reporting Person's continuation in service with the Issuer through each of the July 6, 2013, July 6, 2014, and July 6, 2015 vesting dates. (footnote continued below) (continued from footnote 4 above) The 4,728 shares underlying the January 14, 2011 RSUs will be issued when those units vest upon the Reporting Person's continuation in service with the Issuer through the September 15, 2013 vesting date. The January 14, 2011 RSUs will vest in full on an accelerated basis upon an involuntary termination of the Reporting Person's service without cause. The 2,514 shares underlying the July 6, 2010 RSUs will be issued when those units vest in two successive equal annual installments upon the Reporting Person's continuation in service with the Issuer through each of the July 6, 2013 and July 6, 2014 vesting dates. (footnote continued below) (continued from footnote 5 above) All of the RSUs are subject to accelerated vesting upon certain changes in ownership or control of the Issuer. Does not include (i) 2,478 target shares of the Issuer's Class A common stock subject to the performance share award made to the Reporting Person on July 2, 2012, (ii) 357 target shares of the Issuer's Class A common stock subject to the performance share award made to the Reporting Person on October 5, 2011, (iii) 1,266 target shares of the Issuer's Class A common stock subject to the performance share award made to the Reporting Person on July 6, 2011 or (iv) 1,776 target shares of the Issuer's Class A common stock subject to the performance share award made to the Reporting Person on July 6, 2010. Those awards will not actually convert into any shares unless the applicable performance goals are attained at threshold level or above. By Brian L. Swartz for Frederick James Newton 2013-06-17