SEC Form 4 · accession 0001614094-15-000035
NetApp, Inc. · NTAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew K Fawcett
Officer — SVP, GC & Secretary
Period of report
Jun 3, 2015
Accepted (ET)
Jun 5, 2015 · 6:46 pm EDT
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 | Jun 3, 2015 | M | 6,250 | — | A | 20,746 | D | |
| Common Stock | Jun 3, 2015 | F | 2,348 | $33.245 | D | 18,398 | D | |
| Common StockF1 | Jun 3, 2015 | M | 10,625 | — | A | 29,023 | D | |
| Common Stock | Jun 3, 2015 | F | 3,992 | $33.245 | D | 25,031 | 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 UnitF2 | $0.00 | Jun 3, 2015 | M | 6,250 | D | — | — | Common Stock | 6,250 | 58,950 | D |
| Restricted Stock UnitF3 | $0.00 | Jun 3, 2015 | M | 10,625 | D | — | — | Common Stock | 10,625 | 48,325 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2On June 3, 2013, the reporting person was granted 25,000 restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date, subject to continued service on each applicable vesting date.
- F3On June 3, 2014, the reporting person was granted 42,500 restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date, subject to continued service on each applicable vesting date.