SEC Form 4 · accession 0001614094-17-000023
NetApp, Inc. · NTAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald J Pasek
Officer — EVP Finance & Operations, CFO
Period of report
Nov 30, 2016
Accepted (ET)
May 18, 2017 · 4:25 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 Stock | Nov 30, 2016 | J | 645 | $21.3095 | A | 645 | D | |
| Common Stock | May 16, 2017 | M | 16,033 | $0.00 | A | 16,678 | D | |
| Common Stock | May 16, 2017 | F | 6,025 | $41.62 | D | 10,653 | 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 | May 16, 2017 | M | 16,033 | D | May 16, 2017 | May 16, 2023 | Common Stock | 16,033 | 48,096 | D |
Explanation of responses
- F1Shares acquired under the NetApp 1999 Employee Stock Purchase Plan on November 30, 2016.
- F2Restricted stock units convert into common stock on a one-for-one basis.
- F3On May 16, 2016, the reporting person was granted 64,129 restricted stock units, vesting in four equal annual installments beginning on May 16, 2017 and subject to continued service on each applicable vesting date.