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