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NetApp, Inc. — Director's Dealing 2012
Dec 21, 2012
30233_dirs_2012-12-21_2debcc5c-d70f-434e-941d-3a4d0886c1ac.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NetApp, Inc. (NTAP)
CIK: 0001002047
Period of Report: 2012-06-06
Reporting Person: WARMENHOVEN DANIEL J (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-12-20 | Common Stock | M | 7009 | $3.5667 | Acquired | 64761 | Direct |
| 2012-12-20 | Common Stock | S | 7009 | $33.9651 | Disposed | 57752 | Direct |
| 2012-06-06 | Common Stock | G | 4250 | — | Disposed | 2051031 | Indirect |
| 2012-09-18 | Common Stock | G | 30500 | — | Disposed | 2020531 | Indirect |
| 2012-12-11 | Common Stock | G | 13300 | — | Disposed | 2007231 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-12-20 | Non-Qualified Stock Option (right to buy) | $3.5667 | M | 7009 | Disposed | 2013-01-01 | Common Stock (7009) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 170000 | Indirect |
| Common Stock | 38032 | Indirect |
Footnotes
F1: The price in Column 4 is a weighted average price. The sale prices ranged from $33.9602 to $33.97 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
F2: Shares held in trust by Daniel J. Warmenhoven & Charmaine A. Warmenhoven, trustees to The Warmenhoven 1987 Revocable Trust UTA dated 12/16/87, as amended.
F3: Shares held by Warmenhoven Ventures LP, a limited partnership of which the Warmenhoven Management Trust is the general partner, of which the reporting person and his wife are the trustees. Reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
F4: Shares held in trust by Richard A. Andre, trustee to The Daniel J. Warmenhoven 1991 Children's Trust. Reporting person disclaims beneficial ownership of such shares.
F5: Option vests with respect to 1/12 of the option shares on January 31, 2003 and the balance in a series of equal month installments over the next 11 months of service thereafter.