What changed in this filing

/stocks — the workspaceLOADING

Item 9A. Controls and Procedures

2021-10-29 compared with 2020-10-30 · 38 added, 22 removed, 170 unchanged (26% of the section changed)

21 unchanged sentences

There were no changes in the Company’s internal control over financial reporting during the fourth quarter of 2021, which were identified in connection with management’s evaluation required by paragraph (d) of Rules 13a-15 and 15d-15 under the Exchange Act, that have materially affected, or are reasonably likely to materially affect, the Company’s internal control over financial reporting.

Other Information

| 2021 Form 10-K | 55

Other Information

Disclosure Pursuant to Section 13(r) of the Exchange Act

Under Section 13(r) of the Exchange Act, the Company is required to disclose in its periodic reports if it or any of its affiliates knowingly conducted a transaction or dealing with entities or individuals designated pursuant to certain Executive Orders.

On March 2, 2021, the U.S.

Secretary of State designated the Russian Federal Security Service (the “FSB”) as a blocked party under Executive Order 13382.

On the same day, the U.S.

Department of the Treasury’s Office of Foreign Assets Control updated General License No.

1B to authorize transactions and activities with the FSB that are necessary and ordinarily incident to requesting, receiving, utilizing, paying for, or dealing in certain licenses, permits, certifications or notifications issued or registered by the FSB for the importation, distribution or use of certain information technology products in the Russian Federation.

As previously disclosed in the Company’s Quarterly Report on Form 10-Q for the three-month period ended June 26, 2021, during such period, the Company filed legally required administrative notifications with the FSB in connection with the importation of the Company’s products into the Russian Federation, as permitted by General License No.

The Company did not make any payments, nor did it receive gross revenues or net profits, in connection with such engagement.

The Company may in the future engage with the FSB for activities necessary to conduct business in the Russian Federation, in accordance with applicable U.S.

laws and regulations.

Disclosure Regarding Foreign Jurisdictions that Prevent Inspections

Not applicable.

Directors, Executive Officers and Corporate Governance

The information required by this Item is set forth under the headings “Corporate Governance,” “Directors,” “Executive Officers” and, if applicable, “Other Information—Security Ownership of Certain Beneficial Owners and Management” in the Company’s 2021 Proxy Statement to be filed with the SEC within 120 days after September 26, 2020 in connection with the solicitation of proxies for the Company’s 2021 annual meeting of shareholders, and is incorporated herein by reference.

The information required by this Item is included in the Company’s 2022 Proxy Statement to be filed with the SEC within 120 days after September 25, 2021 in connection with the solicitation of proxies for the Company’s 2022 annual meeting of shareholders, and is incorporated herein by reference.

Executive Compensation

The information required by this Item is set forth under the heading “Executive Compensation,” under the subheadings “Board Oversight of Risk Management” and, if applicable, “Compensation Committee Interlocks and Insider Participation” under the heading “Corporate Governance” and under the subheadings “Compensation of Directors” and “Director Compensation—2020” under the heading “Directors” in the Company’s 2021 Proxy Statement to be filed with the SEC within 120 days after September 26, 2020, and is incorporated herein by reference.

The information required by this Item is included in the Company’s 2022 Proxy Statement to be filed with the SEC within 120 days after September 25, 2021, and is incorporated herein by reference.

Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters

The information required by this Item is set forth under the headings “Other Information—Security Ownership of Certain Beneficial Owners and Management” and “Other Information—Equity Compensation Plan Information” in the Company’s 2021 Proxy Statement to be filed with the SEC within 120 days after September 26, 2020, and is incorporated herein by reference.

The information required by this Item is included in the Company’s 2022 Proxy Statement to be filed with the SEC within 120 days after September 25, 2021, and is incorporated herein by reference.

Certain Relationships and Related Transactions, and Director Independence

The information required by this Item is set forth under the subheadings “Role of the Board of Directors,” “Board Committees”, “Review, Approval, or Ratification of Transactions with Related Persons” and “Transactions with Related Persons” under the heading “Corporate Governance” in the Company’s 2021 Proxy Statement to be filed with the SEC within 120 days after September 26, 2020, and is incorporated herein by reference.

The information required by this Item is included in the Company’s 2022 Proxy Statement to be filed with the SEC within 120 days after September 25, 2021, and is incorporated herein by reference.

Principal Accountant Fees and Services

The information required by this Item is set forth under the subheadings “Fees Paid to Auditors” and “Policy on Audit Committee Pre-Approval of Audit and Non-Audit Services Performed by the Independent Registered Public Accounting Firm” under the proposal “Ratification of Appointment of Independent Registered Public Accounting Firm” in the Company’s 2021 Proxy Statement to be filed with the SEC within 120 days after September 26, 2020, and is incorporated herein by reference.

The information required by this Item is included in the Company’s 2022 Proxy Statement to be filed with the SEC within 120 days after September 25, 2021, and is incorporated herein by reference.

| 2021 Form 10-K | 56

9 unchanged sentences

Notes to Consolidated Financial Statements

Selected Quarterly Financial Information (Unaudited)

Reports of Independent Registered Public Accounting Firm

55 unchanged sentences

8-K 4.1 9/11/19

4.22 Officer’s Certificate of the Registrant, dated as of No vember 15, 2019 , including forms of global notes representing the 0.000 % Notes due 202 5 and 0.500 % Notes due 20 31 .

4.22 Officer’s Certificate of the Registrant, dated as of November 15, 2019, including forms of global notes representing the 0.000% Notes due 2025 and 0.500% Notes due 2031.

8-K 4.1 11/15/19

1 unchanged sentence

8-K 4.1 5/11/20

4.24 Officer’s Certificate of the Registrant, dated as of August 20 , 2020, including forms of global notes representing the 0.550 % Notes due 202 5 , 1.

25% Notes due 20 30 , 2.40 0% Notes due 20 5 0 and 2.

5 50% Notes due 20 6 0.

4.24 Officer’s Certificate of the Registrant, dated as of August 20, 2020, including forms of global notes representing the 0.550% Notes due 2025, 1.25% Notes due 2030, 2.400% Notes due 2050 and 2.550% Notes due 2060.

8-K 4.1 8/20/20

4.25 Officer’s Certificate of the Registrant, dated as of February 8, 2021, including forms of global notes representing the 0.700% Notes due 2026, 1.200% Notes due 2028, 1.650% Notes due 2031, 2.375% Notes due 2041, 2.650% Notes due 2051 and 2.800% Notes due 2061.

8-K 4.1 2/8/21

4.26 Officer’s Certificate of the Registrant, dated as of August 5, 2021, including forms of global notes representing the 1.400% Notes due 2028, 1.700% Notes due 2031, 2.700% Notes due 2051 and 2.850% Notes due 2061.

8-K 4.1 8/5/21

4.27* Apple Inc.

1 unchanged sentence

S-8 4.1 8/23/18

| 2021 Form 10-K | 58

Incorporated by Reference

Exhibit Number Exhibit Description Form Exhibit Filing Date/

Period End Date

10.1* Employee Stock Purchase Plan, as amended and restated as of March 10, 2015.

5 unchanged sentences

8-K 10.1 2/14/18

10.4* 2003 Employee Stock Plan, as amended through February 25, 2010.

8-K 10.1 3/1/10

| 2020 Form 10-K | 65

Incorporated by Reference

Exhibit Number Exhibit Description Form Exhibit Filing Date/

Period End Date

10.5* Form of Restricted Stock Unit Award Agreement under 2003 Employee Stock Plan effective as of November 16, 2010.

10-Q 10.10 12/25/10

10.4* 2014 Employee Stock Plan, as amended and restated as of October 1, 2017.

10-K 10.8 9/30/17

10.7* Form of Amendment, effective as of August 26, 2014, to Restricted Stock Unit Award Agreements and Performance Award Agreements outstanding as of August 26, 2014.

10-K 10.13 9/27/14

10.5* Form of Restricted Stock Unit Award Agreement under 2014 Employee Stock Plan effective as of October 14, 2016.

15 unchanged sentences

10.13* Form of Restricted Stock Unit Award Agreement under 2014 Employee Stock Plan effective as of August 18, 2020.

10-K 10.16 9/26/20

10.14* Form of Performance Award Agreement under 2014 Employee Stock Plan effective as of August 18, 2020.

10-K 10.17 9/26/20

10.15* Form of CEO Restricted Stock Unit Award Agreement under 2014 Employee Stock Plan effective as of September 27, 2020.

10-Q 10.1 1/28/21

10.16* Form of CEO Performance Award Agreement under 2014 Employee Stock Plan effective as of September 27, 2020.

10-Q 10.2 1/28/21

21.1** Subsidiaries of the Registrant.

34 unchanged sentences

/s/ Arthur D.

Levinson Director October 29, 2020

Levinson Director and Chair of the Board October 28, 2021

/s/ Monica Lozano Director October 28, 2021

MONICA LOZANO

/s/ Ronald D.

3 unchanged sentences

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-K

Item 9A. Controls and Procedures