SEC Form 4 · accession 0001614094-19-000003
NetApp, Inc. · NTAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George T Shaheen
Director
Period of report
Jan 2, 2019
Accepted (ET)
Jan 4, 2019 · 4:20 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 | Jan 2, 2019 | M | 7,132 | $0.00 | A | 13,282 | 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 UnitF1 | $0.00 | Jan 2, 2019 | M | 7,132 | D | Sep 15, 2017 | — | Common Stock | 7,132 | 19,618 | D |
Explanation of responses
- F1On September 15, 2016, the reporting person was granted 7,132 restricted stock units ("RSUs") 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. The RSUs have been deferred and the payout shall be within 30 days of the earlier of: January 1, 2019, the date his service on the Board ceases for any reason or the date on which a Change of Control occurs.