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NetApp, Inc. — Director's Dealing 2013
Jun 5, 2013
30233_dirs_2013-06-05_395908a2-9c9b-4a58-8f4c-c1ea20a49b77.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: 2013-06-01
Reporting Person: Noviello Nicholas R (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-06-01 | Common Stock | M | 1875 | — | Acquired | 18840 | Direct |
| 2013-06-01 | Common Stock | M | 3750 | — | Acquired | 22590 | Direct |
| 2013-06-01 | Common Stock | M | 6675 | — | Acquired | 29265 | Direct |
| 2013-06-01 | Common Stock | M | 1575 | — | Acquired | 30840 | Direct |
| 2013-06-01 | Common Stock | F | 704 | $37.53 | Disposed | 30136 | Direct |
| 2013-06-01 | Common Stock | F | 1409 | $37.53 | Disposed | 28727 | Direct |
| 2013-06-01 | Common Stock | F | 2508 | $37.53 | Disposed | 26219 | Direct |
| 2013-06-01 | Common Stock | F | 591 | $37.53 | Disposed | 25628 | Direct |
| 2013-06-04 | Common Stock | S | 4496 | $37.5708 | Disposed | 21132 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-06-03 | Non-Qualified Stock Option (right to buy) | $37.64 | A | 100000 | Acquired | 2020-06-02 | Common Stock (100000) | Direct |
| 2013-06-01 | Restricted Stock Unit | $0 | M | 1875 | Disposed | Common Stock (1875) | Direct | |
| 2013-06-01 | Restricted Stock Unit | $0 | M | 3750 | Disposed | Common Stock (3750) | Direct | |
| 2013-06-01 | Restricted Stock Unit | $0 | M | 6675 | Disposed | Common Stock (6675) | Direct | |
| 2013-06-01 | Restricted Stock Unit | $0 | M | 1575 | Disposed | Common Stock (1575) | Direct | |
| 2013-06-03 | Restricted Stock Unit | $0 | A | 33300 | Acquired | Common Stock (33300) | Direct |
Footnotes
F1: The transaction(s) reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
F2: Sale prices for the reported transaction were in a range of $37.44 to $37.63.
F3: Non-Derivative Securities Beneficially Owned includes shares acquired under NetApp Employee Stock Purchase Plan on May 31, 2013.
F4: Option vests in a series of equal monthly installments over 48 months of service beginning with the one-month annniversary of the grant date.
F5: The restricted stock unit shares vest as to 25% of the shares on the one-year anniversary of the grant date, and 25% of the shares on each annual anniversary thereafter for the next 3 years.