0001209191-11-038389.txt : 20110706 0001209191-11-038389.hdr.sgml : 20110706 20110706165757 ACCESSION NUMBER: 0001209191-11-038389 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110702 FILED AS OF DATE: 20110706 DATE AS OF CHANGE: 20110706 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: 11953934 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 c19647_4x0.xml MAIN DOCUMENT DESCRIPTION X0303 4 2011-07-02 0000929887 APOLLO GROUP INC APOL 0001237503 SPERLING JOHN G 4025 S. RIVERPOINT PKWY PHOENIX AZ 85040 1 1 0 0 Exec Chrmn of the Board Class A Common Stock 2011-07-02 4 F 0 3309 46.46 D 82463 D Class A Common Stock 10547886 I John Sperling Revocable Trust Class A Common Stock 1000000 I John Sperling Irrevocable Trust Class A Common Stock 1340036 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) 42,996 shares of the Issuer's Class A common stock subject to RSUs granted on July 6, 2010, (ii) 15,926 shares of the Issuer's Class A common stock subject to RSUs granted July 2, 2009, (iii) 12,500 shares of the Issuer's Class A common stock subject to RSUs granted July 3, 2007 and (iv) 3,417 shares of the Issuer's Class A common stock subject to RSUs granted October 31, 2008. The 42,996 shares underlying the July 6, 2010 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 August 31, 2011, July 6, 2012, July 6, 2013, and July 6, 2014 vesting dates (footnote continued below). (continued from footnote 2 above) The 15,926 shares underlying the July 2, 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 July 2, 2012, and July 2, 2013 vesting dates. The 12,500 shares underlying the July 3, 2007 RSUs will be issued when those units vest upon the Reporting Person's continuation in service with the Issuer through August 31, 2011. The 3,417 shares underlying the October 31, 2008 RSUs will be issued when those units vest upon the Reporting Person's continuation in service with the Issuer through August 31, 2011. 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 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 that will not actually convert into any such shares unless the applicable performance goal is 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 2011-07-06