SEC Form 4 · accession 0001614094-15-000038
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
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 | 8,325 | — | A | 30,114 | D | |
| Common Stock | Jun 3, 2015 | F | 4,005 | $33.245 | D | 26,109 | D | |
| Common Stock | Jun 5, 2015 | S | 4,320 | $33.87 | D | 21,789 | 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 | Jun 3, 2015 | M | 8,325 | D | — | — | Common Stock | 8,325 | 19,225 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2The transaction(s) reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F3On June 3, 2013, the reporting person was granted 33,300 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.