0001209191-12-003617.txt : 20120113
0001209191-12-003617.hdr.sgml : 20120113
20120113161007
ACCESSION NUMBER: 0001209191-12-003617
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120111
FILED AS OF DATE: 20120113
DATE AS OF CHANGE: 20120113
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Newton Frederick James
CENTRAL INDEX KEY: 0001494320
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-25232
FILM NUMBER: 12526736
MAIL ADDRESS:
STREET 1: 4025 S. RIVERPOINT PKWY.
STREET 2: MS CF-KX04
CITY: PHOENIX
STATE: AZ
ZIP: 85040
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
4
1
c26730_4x0.xml
MAIN DOCUMENT DESCRIPTION
X0304
4
2012-01-11
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
2012-01-11
4
M
0
3127
42.27
A
29864
D
Class A Common Stock
2012-01-11
4
S
0
2581
56.9546
D
27283
D
Non-Qualified Stock Option (Right to Buy)
42.27
2012-01-11
4
M
0
3127
0
D
2016-07-05
Class A Common Stock
3127
9381
D
Represents the weighted average sale price per share. The actual sale prices ranged from a low of $56.95 to a high of $56.98. The Reporting Person will provide upon request by the Securities and Exchange Commission, the Issuer or any security holder of the Issuer full information regarding the number of shares sold at each separate price.
Includes (i) 8,848 shares of the Issuer's Class A common stock subject to the RSUs granted July 6, 2011 award, (ii) 9,456 shares of the Issuer's Class A common stock subject to RSUs granted January 14, 2011, (iii) 3,771 shares of the Issuer's Class A common stock subject to RSUs granted July 6, 2010, and (iv) 3,802 shares of the Issuer's Class A common stock subject to RSUs granted March 25, 2009. The 8,848 shares underlying the July 6, 2011 RSUs 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, 2012, July 6, 2013, July 6, 2014, and July 6, 2015 vesting dates. The 9,456 shares underlying the January 14, 2011 RSUs will be issued when those units vest in two equal successive installments over the Reporting Person's period of service with the Issuer through each of the September 15, 2012 and September 15, 2013 vesting dates. (footnote continued below)
(continued from footnote 2 above) 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 3,771 shares underlying the July 6, 2010 RSUs will be issued when those units vest in three successive equal installments upon the Reporting Person's continuation in service with the Issuer through each of the July 6, 2012, July 6, 2013 and July 6, 2014 vesting dates. The 3,802 shares underlying the March 25, 2009 RSUs will be issued when those units vest in two successive equal installments upon the Reporting Person's continuation in service with the Issuer through each of the March 25, 2012, and March 25, 2013 vesting dates. All of the RSUs are subject to accelerated vesting upon certain changes in ownership or control of the Issuer (footnote continued below).
(continued from footnote 3 above) Does not include (i) 357 shares of the Issuer's Class A common stock subject to the performance share award made to the Reporting Person on October 5, 2011, (ii) 1,266 shares of the Issuer's Class A common stock subject to the performance share award made to the Reporting Person on July 6, 2011 and (iii) 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.
The option vested and became exercisable for 3,127 of the underlying shares of Class A common stock on July 6, 2011. The remainder of the option will vest and become exercisable for the underlying shares of Class A common stock in a series of three successive equal installments on each of the July 6, 2012, July 6, 2013 and July 6, 2014 vesting dates upon the Reporting Person's continuation in service with the Issuer through each such annual vesting date, subject to accelerated vesting upon certain changes in ownership or control of the Issuer
By Brian L. Swartz for Frederick James Newton
2012-01-13