SEC Form 4 · accession 0001614094-15-000002
NetApp, Inc. · NTAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nicholas R Noviello
Officer — EVP Finance & Operations, CFO
Period of report
Feb 15, 2015
Accepted (ET)
Feb 18, 2015 · 4:26 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001002047
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 15, 2015 | M | 3,125 | $0.00 | A | 24,809 | D | |
| Common Stock | Feb 15, 2015 | F | 1,235 | $38.22 | D | 23,574 | D | |
| Common Stock | Feb 17, 2015 | S | 1,890 | $38.06 | D | 21,684 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF3 | $0.00 | Feb 15, 2015 | M | 3,125 | D | Feb 15, 2015 | May 14, 2021 | Common Stock | 3,125 | 38,275 | D |
Explanation of responses
- F1Includes 247 shares of the Issuer's common stock acquired on November 28, 2014 under the NetApp, Inc. Employee Stock Purchase Plan.
- F2The transaction(s) reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F3The restricted stock unit shares vest as to 25% of the shares on the one-year anniversary of the grant date, and 25% of the shares on each annual anniversary thereafter for the next 3 years.