0000929887-13-000042.txt : 20130705 0000929887-13-000042.hdr.sgml : 20130704 20130705131540 ACCESSION NUMBER: 0000929887-13-000042 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130702 FILED AS OF DATE: 20130705 DATE AS OF CHANGE: 20130705 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: Swartz Brian L CENTRAL INDEX KEY: 0001389351 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25232 FILM NUMBER: 13955355 MAIL ADDRESS: STREET 1: 4025 S RIVERPOINT PKWY STREET 2: MAIL-STOP CF-KX04 CITY: PHOENIX STATE: AZ ZIP: 85040 4 1 wf-form4_137304453021482.xml FORM 4 X0306 4 2013-07-02 0 0000929887 APOLLO GROUP INC APOL 0001389351 Swartz Brian L 4025 S. RIVERPOINT PKWY PHOENIX AZ 85040 0 1 0 0 SVP & CFO Class A Common Stock 2013-07-02 4 F 0 748 18.08 D 95692 D 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 the Issuer's Class A common stock. Includes (i) 27,244 shares of the Issuer's Class A common stock subject to RSUs granted July 2, 2012, (ii) 4,130 shares of the Issuer's Class A common stock subject to RSUs granted July 2, 2012, (iii) 14,538 shares of the Issuer's Class A common stock subject to RSUs granted July 6, 2011, (iv) 8,036 shares of the Issuer's Class A common stock subject to RSUs granted January 14, 2011, and (v) 7,576 shares of the Issuer's Class A common stock subject to RSUs granted July 6, 2010. The 27,244 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 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. (footnote continued below) (continued from footnote 2 above) The 4,130 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 three successive installments over the Reporting Person's continuation in 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, and the balance will vest in two successive equal 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 14,538 shares underlying the July 6, 2011 RSUs (footnote continued below) (continued from footnote 3 above) will be issued when those units vest in a series of 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 8,036 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 7,576 shares underlying the July 6, 2010 RSUs will be issued when those units vest in a series of 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. (footnote continued below) (continued from footnote 4 above) All of the RSUs are subject to accelerated vesting upon certain changes in ownership or control of the Issuer. Does not include (i) 10,734 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) 1,185 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) 5,796 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 and (iv) 5,349 target shares of the Issuer's Class A common stock subject the performance share award made to the Reporting Person on July 6, 2010. Those awards 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 Joseph L. D'Amico for Brian L. Swartz 2013-07-05