SEC Form 4 · accession 0001614094-17-000122
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
Nov 16, 2017
Accepted (ET)
Nov 20, 2017 · 4:30 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 16, 2017 | M | 59,375 | $37.64 | A | 61,492 | D | |
| Common Stock | Nov 16, 2017 | S | 59,375 | $51.41 | D | 2,117 | 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 | $37.64 | Nov 16, 2017 | M | 59,375 | D | — | Jun 2, 2020 | Common Stock | 59,375 | 15,625 | D |
Explanation of responses
- F1The transaction(s) reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F2Option vests in a series of equal monthly installments over 48 months of service beginning with the one-month annniversary of the grant date.