SEC Form 4 · accession 0001614094-18-000035
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, 2017
Accepted (ET)
May 18, 2018 · 4:52 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, 2017 | J | 704 | $21.3095 | A | 17,045 | D | |
| Common StockF2 | May 16, 2018 | M | 16,032 | $0.00 | A | 33,077 | D | |
| Common Stock | May 16, 2018 | F | 5,826 | $70.68 | D | 27,251 | D | |
| Common StockF3,F4 | May 16, 2018 | A | 47,964 | $0.00 | A | 75,215 | D | |
| Common Stock | May 16, 2018 | F | 23,780 | $70.68 | D | 51,435 | 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 UnitF5 | $0.00 | May 16, 2018 | M | 16,032 | D | May 16, 2017 | May 16, 2023 | Common Stock | 16,032 | 32,064 | D |
Explanation of responses
- F1Shares acquired under the NetApp's 1999 Employee Stock Purchase Plan on November 30, 2017.
- F2Restricted stock units convert into stock on a one-for-one basis.
- F3Represents the settlement of performance share units originally granted on June 1, 2016.
- F4Performance stock units convert into stock on a one-for-one basis.
- F5On 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.