0000929887-12-000122.txt : 20121023 0000929887-12-000122.hdr.sgml : 20121023 20121023155648 ACCESSION NUMBER: 0000929887-12-000122 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121019 FILED AS OF DATE: 20121023 DATE AS OF CHANGE: 20121023 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SPERLING JOHN G CENTRAL INDEX KEY: 0001237503 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25232 FILM NUMBER: 121156586 MAIL ADDRESS: STREET 1: 4615 E ELWOOD ST 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 wf-form4_135102219568924.xml FORM 4 X0306 4 2012-10-19 0 0000929887 APOLLO GROUP INC APOL 0001237503 SPERLING JOHN G 4025 S. RIVERPOINT PKWY PHOENIX AZ 85040 1 1 1 0 Exec Chrmn of the Board Class A Common Stock 2012-10-19 4 F 0 4913 20.39 D 171564 D Class A Common Stock 8372386 I John Sperling Revocable Trust Class A Common Stock 900000 I John Sperling Irrevocable Trust Class A Common Stock 1181036 I Aurora Foundation 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) 63,704 shares of the Issuer's Class A common stock subject to the RSUs granted on July 2, 2012, (ii) 35,472 shares of the Issuer's Class A common stock subject to the RSUs granted on July 6, 2011, (iii) 21,498 shares of the Issuer's Class A common stock subject to the RSUs granted on July 6, 2010 and (iv) 7,963 shares of the Issuer's Class A common stock subject to the RSUs granted July 2, 2009. The 63,704 shares underlying the July 2, 2012 RSUs will be issued when those units vest (subject to an initial performance-vesting requirement) in 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. (footnote continued below) (continued from footnote 2 above) The 35,472 shares underlying the July 6, 2011 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, 2013, July 6, 2014, and July 6, 2015 vesting dates. The 21,498 shares underlying the July 6, 2010 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 July 6, 2013, and July 6, 2014 vesting dates. The 7,963 shares underlying the July 2, 2009 RSUs will be issued when those units vest upon the Reporting Person's continuation in service with the Issuer through the July 2, 2013 vesting date. All of the RSUs are subject to accelerated vesting upon certain changes in ownership or control of the Issuer. Does not include (i) the performance share award made to the Reporting Person on July 2, 2012 for 32,610 target shares of the Issuer's Class A common stock, (ii) the performance share award made to the Reporting Person on July 6, 2011 for 20,805 target shares of the Issuer's Class A common stock or (iii) the performance share award made to the Reporting Person on July 6, 2010 for 15,174 target shares of the Issuer's Class A common stock. Those performance shares will not actually convert into any shares of the Issuer's Class A common stock unless the applicable performance goals are attained at threshold level or above. By self as trustee and beneficiary of the John Sperling Revocable Trust dated November 26, 2007. By self as co-trustee and beneficiary of the John Sperling 1994 Irrevocable Trust dated April 27, 1994. By Self as trustee of the Aurora Foundation dated May 22, 1997. By Brian L. Swartz for John G. Sperling 2012-10-23