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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Stock Units (5) | $ 0 (5) | 02/21/2017 | M | 6,250 | (6) | (6) | Common Stock | 6,250 | $ 0 | 22,954.6041 | D | ||||
Restricted Stock / Units (7) | $ 0 (8) | 02/21/2017 | M | 12,500 | (9) | (9) | Common Stock | 12,500 | $ 0 | 250,057 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CHRISTMANN JOHN J 2000 POST OAK BLVD. SUITE 100 HOUSTON, TX 77056-4400 |
X | CEO and President |
Raj Sharma, Attorney-in-Fact | 02/21/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Gift to the JJCV 1998 Trust of which the reporting person is the trustee. |
(2) | Gift to the CAC 1998 Trust of which the reporting person is the trustee. |
(3) | Gift to the CEC 2003 Trust of which the reporting person is the trustee. |
(4) | Shares withheld to cover required tax withholding on vesting of restricted stock effective as of 02/18/2017. Data provided by plan administrator on 02/21/2017. |
(5) | One share of Apache common stock for each phantom stock unit. |
(6) | Exempt acquisition pursuant to Rule 16a-3(d). Accrued under the deferred compensation provisions of Apache's Deferred Delivery Plan - data provided by the plan administrator on 02/21/2017. |
(7) | With tandem tax withholding right |
(8) | One share of Apache common stock for each restricted stock unit. |
(9) | Vesting as of 02/18/2017 of restricted stock units pursuant to restricted stock unit award agreement under employer plan. Of these shares, 60 percent (net of required tax withholding) will not be eligible for sale by the reporting person until such time as he retires or otherwise terminates employment with the company. Data provided by plan administrator on 02/21/2017. |