0001209191-12-020040.txt : 20120327 0001209191-12-020040.hdr.sgml : 20120327 20120327151444 ACCESSION NUMBER: 0001209191-12-020040 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120323 FILED AS OF DATE: 20120327 DATE AS OF CHANGE: 20120327 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Newton Frederick James CENTRAL INDEX KEY: 0001494320 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25232 FILM NUMBER: 12717036 MAIL ADDRESS: STREET 1: 4025 S. RIVERPOINT PKWY. STREET 2: MS CF-KX04 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 c28126_4x0.xml MAIN DOCUMENT DESCRIPTION X0305 4 2012-03-23 0000929887 APOLLO GROUP INC APOL 0001494320 Newton Frederick James 4025 S. RIVERPOINT PKWY PHOENIX AZ 85040 0 1 0 0 SR VP, Chief HR Officer Class A Common Stock 2012-03-23 4 F 0 600 42.21 D 26683 D Represents shares of the Issuer's Class A common stock withheld to satisfy the applicable withholding taxes in connection with the vesting of restricted stock units (RSUs) previously granted to the Reporting Person and the issuance of the underlying shares of Class A common stock. Includes (i) 8,848 shares of the Issuer's Class A common stock subject to the RSUs granted July 6, 2011 award, (ii) 9,456 shares of the Issuer's Class A common stock subject to RSUs granted January 14, 2011, (iii) 3,771 shares of the Issuer's Class A common stock subject to RSUs granted July 6, 2010, and (iv) 1,901 shares of the Issuer's Class A common stock subject to RSUs granted March 25, 2009. The 8,848 shares underlying the July 6, 2011 RSUs 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, 2012, July 6, 2013, July 6, 2014, and July 6, 2015 vesting dates. The 9,456 shares underlying the January 14, 2011 RSUs 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 September 15, 2012 and September 15, 2013 vesting dates. (footnote continued below) (continued from footnote 2 above) 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 3,771 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 the July 6, 2012, July 6, 2013 and July 6, 2014 vesting dates. The 1,901 shares underlying the March 25, 2009 RSUs will be issued when those units vest upon the Reporting Person's continuation in service with the Issuer through the March 25, 2013 vesting date. 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 (i) 357 shares of the Issuer's Class A common stock subject to the performance share award made to the Reporting Person on October 5, 2011, (ii) 1,266 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) 1,776 target shares of the Issuer's Class A common stock subject to the performance share award made to the Reporting Person on July 6, 2010. Those awards will not actually convert into any shares unless the applicable performance goals are attained at threshold level or above. By Brian L. Swartz for Frederick James Newton 2012-03-27