SEC Form 4 · accession 0001614094-16-000168
NetApp, Inc. · NTAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffry R Allen
Director
Period of report
Sep 14, 2016
Accepted (ET)
Sep 16, 2016 · 4:46 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,F2 | Sep 14, 2016 | M | 7,916 | $0.00 | A | 14,566 | I | by Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F3 | $0.00 | Sep 14, 2016 | M | 7,916 | D | — | — | Common Stock | 7,916 | 0 | D |
| Restricted Stock UnitF1,F4 | $0.00 | Sep 15, 2016 | A | 7,132 | A | — | — | Common Stock | 7,132 | 7,132 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2Shares held in trust by Jeffry R. Allen and Teri Allen, as Trustees of the Jeffry and Teri Allen Revocable Trust dated 1/29/2002
- F3On September 11, 2015, the reporting person was granted 7,916 restricted stock units which vest on the day immediately preceding the date of the next Annual Stockholders Meeting of the Company following the Grant Date, subject to the Participant's continuous service on the Board through such date.
- F4On September 15, 2016, the reporting person was granted 7,132 restricted stock units which vest on the day immediately preceding the date of the next Annual Stockholders Meeting of the Company following the Grant Date, subject to the Participant's continuous service on the Board through such date.