SEC Form 4 · accession 0001614094-16-000122
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
May 31, 2016
Accepted (ET)
Jun 3, 2016 · 8:12 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 | May 31, 2016 | J | 442 | $21.7005 | A | 1,192 | D | |
| Common Stock | Jun 1, 2016 | M | 3,950 | $0.00 | A | 5,142 | D | |
| Common Stock | Jun 1, 2016 | F | 1,484 | $25.07 | D | 3,658 | D | |
| Common Stock | Jun 1, 2016 | M | 4,850 | $0.00 | A | 8,508 | D | |
| Common Stock | Jun 1, 2016 | F | 1,822 | $25.07 | D | 6,686 | D | |
| Common Stock | Jun 1, 2016 | M | 2,850 | $0.00 | A | 9,536 | D | |
| Common Stock | Jun 1, 2016 | F | 1,071 | $25.07 | D | 8,465 | 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,F3 | $0.00 | Jun 1, 2016 | M | 4,850 | D | Jun 1, 2016 | Jun 23, 2022 | Common Stock | 4,850 | 25,950 | D |
| Restricted Stock UnitF2,F4 | $0.00 | Jun 1, 2016 | M | 2,850 | D | Jun 1, 2016 | Jun 23, 2022 | Common Stock | 2,850 | 23,100 | D |
| Restricted Stock UnitF2,F5 | $0.00 | Jun 1, 2016 | A | 26,000 | A | Jun 1, 2017 | Jun 1, 2023 | Common Stock | 26,000 | 26,000 | D |
| Restricted Stock UnitF2,F6 | $0.00 | Jun 1, 2016 | M | 3,950 | D | Jun 1, 2013 | — | Common Stock | 3,950 | 44,375 | D |
Explanation of responses
- F1Includes 750 shares acquired on November 30, 2015 at $26.061 per share under the NetApp 1999 Employee Stock Purchase Plan.
- F2Restricted stock units convert into common stock on a one-for-one basis.
- F3On June 23, 2015, the reporting person was granted 19,400 restricted stock units, vesting in four equal annual installments beginning on June 1, 2016, subject to continued service on each applicable vesting date.
- F4On June 23, 2015, the reporting person was granted 11,400 restricted stock units, vesting in four equal annual installments beginning on June 1, 2016 and subject to continued service on each applicable vesting date.
- F5On June 1, 2016, the reporting person was granted 26,000 restricted stock units, vesting in four equal annual installments beginning on June 1, 2017 and subject to continued service on each applicable vesting date.
- F6On June 1, 2012, the reporting person was granted 15,800 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.