0000929887-13-000011.txt : 20130318 0000929887-13-000011.hdr.sgml : 20130318 20130318164608 ACCESSION NUMBER: 0000929887-13-000011 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130314 FILED AS OF DATE: 20130318 DATE AS OF CHANGE: 20130318 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cappelli Gregory William CENTRAL INDEX KEY: 0001396055 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25232 FILM NUMBER: 13698218 MAIL ADDRESS: STREET 1: 4025 S RIVERPOINT PKWY STREET 2: MS CF-K815 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_136363955595783.xml FORM 4 X0306 4 2013-03-14 0 0000929887 APOLLO GROUP INC APOL 0001396055 Cappelli Gregory William 4025 S. RIVERPOINT PKWY PHOENIX AZ 85040 1 1 0 0 Chief Executive Officer Class A Common Stock 411450 D Non-Qualified Stock Option (right to buy) 16.75 2013-03-14 4 A 0 600000 0 A 2017-03-13 Non-Qualified Stock Option (right to buy) 600000.0 600000 D Includes (i) 156 shares of the Issuer's Class A common stock subject to RSUs granted on July 6, 2011, (ii) 186,000 shares of the Issuer's Class A common stock subject to RSUs granted April 13, 2011, (iii) 24,500 shares of the Issuer's Class A common stock subject to RSUs granted on April 13, 2011, (iv) 30,400 shares of the Issuer's Class A common stock subject to RSUs granted April 13, 2011, and (v) 23,096 shares of the Issuer's Class A common stock subject to RSUs granted to the Reporting Person on January 18, 2011. The 156 shares underlying the July 6, 2011 RSUs will be issued when those units vest in three successive equal annual installments upon the Reporting Person's continuation (footnote continued below) (continued from footnote 2 above) in service with the Issuer though each of the April 13, 2013, April 13, 2014 and April 13, 2015 vesting dates. The 186,000 shares underlying the April 13, 2011 RSUs described in (ii) above will be issued as those units vest in three successive equal installments upon the Reporting Person's continuation in service with the Issuer through each of the April 13, 2013, April 13, 2014, and April 13, 2015 vesting dates. The 24,500 shares underlying the April 13, 2011 RSUs described in (iii) above will be issued as those units vest in two successive equal annual installments upon the Reporting Person's continuation in service with the Issuer though each of the April 13, 2013 (footnote continued below) (continued from footnote 3 above) and April 13, 2014 vesting dates. The 30,400 shares underlying the April 13, 2011 RSUs described in (iv) above 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 April 13, 2013 and April 13, 2014 vesting dates. The 23,096 shares underlying the January 18, 2011 RSUs will vest in 12 successive equal monthly installments upon the Reporting Person's completion of each month of service over the 12-month period measured from September 16, 2012, with the shares of Class A common stock that so vest to be issued on September 15, 2013. All of the RSUs are subject to accelerated vesting upon certain changes in ownership or control of the Issuer, and all of the RSUs are subject to service-vesting credits in the event the Reporting Person is terminated under certain specified circumstances during the service-vesting period. Does not include (i) 12,810 shares of the Issuer's Class A common stock subject to the performance share award made to the Reporting Person on March 29, 2012, (ii) 21,066 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) 55,617 shares of the Issuer's Class A common stock subject to the performance share award made to the Reporting Person on July 6, 2011. Those awards will not actually convert into any shares unless the applicable performance goals are attained at threshold level or above. The option will vest and become exercisable for the underlying shares of the Issuer's Class A common stock as follows: 20% of the options will vest upon the Reporting Person's continuation in service with the Issuer through December 12, 2013, and the balance will vest in two successive equal installments upon the Reporting Person's continuation in service with the Issuer through August 31, 2014 and February 12, 2015, respectively, subject to accelerated vesting upon certain changes in ownership or control of the Issuer. In addition, the Reporting Person will be entitled to certain service-vesting credits in the event his employment with the Issuer should terminate under certain specified circumstances during the service-vesting period. By Brian L. Swartz for Gregory W. Cappelli 2013-03-18