SEC Form 4 · accession 0001614094-17-000008
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
Nov 30, 2016
Accepted (ET)
Feb 13, 2017 · 4:10 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 Stock | Nov 30, 2016 | J | 456 | $21.3095 | A | 1,648 | D | |
| Common Stock | Feb 9, 2017 | M | 25,000 | $29.44 | A | 26,648 | D | |
| Common Stock | Feb 9, 2017 | S | 25,000 | $39.45 | D | 1,648 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F2 | $29.44 | Feb 9, 2017 | M | 25,000 | D | — | May 31, 2019 | Common Stock | 25,000 | 0 | D |
Explanation of responses
- F1Shares purchased under the NetApp 1999 Employee Stock Purchase Plan.
- F2Option vests in a series of equal monthly installments over 48 months of service beginning with the one-month annniversary of the grant date.