0001209191-11-053863.txt : 20111102 0001209191-11-053863.hdr.sgml : 20111102 20111102160918 ACCESSION NUMBER: 0001209191-11-053863 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111101 FILED AS OF DATE: 20111102 DATE AS OF CHANGE: 20111102 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: 111174547 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 c24055_4x0.xml MAIN DOCUMENT DESCRIPTION X0304 4 2011-11-01 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 2011-11-01 4 S 0 20000 46.6363 D 9081453 I John Sperling Revocable Trust Class A Common Stock 118678 D Class A Common Stock 900000 I John Sperling Irrevocable Trust Class A Common Stock 1256036 I Aurora Foundation The reported transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on October 28, 2010. Represents the weighted average sale price per share. The actual sale prices ranged from a low of $46.32 to a high of $47.10. The Reporting Person will provide upon request by the Securities and Exchange Commission, the Issuer or any security holder of the Issuer full information regarding the number of shares sold at each separate price. By self as trustee and beneficiary of the John Sperling Revocable Trust dated November 26, 2007. Includes (i) 47,296 shares of the Issuer's Class A common stock subject to the RSUs granted on July 6, 2011, (ii) 32,247 shares of the Issuer's Class A common stock subject to RSUs granted on July 6, 2010 and (iii) 15,926 shares of the Issuer's Class A common stock subject to RSUs granted July 2, 2009. The 47,296 shares underlying the July 6, 2011 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, 2012, July 6, 2013, July 6, 2014, and July 6, 2015 vesting dates. The 32,247 shares underlying the July 6, 2010 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 July 6, 2012, July 6, 2013, and July 6, 2014 vesting dates. (footnote continued below) (continued from footnote 4 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. 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 6, 2011 for 20,805 target shares of the Issuer's Class A common stock and (ii) 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 co-trustee and beneficiary of the John Sperling 1994 Irrevocable Trust dated April 27, 1994. Represents a 21,000 share reduction in the number of shares of the Issuer's Class A common stock previously reported for Aurora Foundation. The reduction is the result of sales made by Aurora Foundation since the date of the last Form 4 report filed by the Reporting Person. The Reporting Person had no pecuniary interest in the shares sold and has no pecuniary interest in any of the remaining shares of the Issuer's Class A common stock owned by the Aurora Foundation. By Self as trustee of the Aurora Foundation dated May 22, 1997. By Brian L. Swartz for John G. Sperling 2011-11-02