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NetApp, Inc. — Director's Dealing 2013
Jun 5, 2013
30233_dirs_2013-06-05_4a54fc48-6aad-48dd-9b92-dc3e065caa30.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: Salmon Robert E (Executive VP, Field Operations)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-06-01 | Common Stock | M | 10416 | — | Acquired | 15409 | Direct |
| 2013-06-01 | Common Stock | M | 6250 | — | Acquired | 21659 | Direct |
| 2013-06-01 | Common Stock | M | 11250 | — | Acquired | 32909 | Direct |
| 2013-06-01 | Common Stock | M | 5025 | — | Acquired | 37934 | Direct |
| 2013-06-01 | Common Stock | F | 3914 | $37.53 | Disposed | 34020 | Direct |
| 2013-06-01 | Common Stock | F | 2814 | $37.53 | Disposed | 31206 | Direct |
| 2013-06-01 | Common Stock | F | 5870 | $37.53 | Disposed | 25336 | Direct |
| 2013-06-01 | Common Stock | F | 2622 | $37.53 | Disposed | 22714 | Direct |
| 2013-06-03 | Common Stock | M | 16954 | $20.69 | Acquired | 39668 | Direct |
| 2013-06-03 | Common Stock | S | 16954 | $37.1825 | Disposed | 22714 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-06-03 | Non-Qualified Stock Option (right to buy) | $20.69 | M | 16954 | Disposed | 2016-05-31 | Common Stock (16954) | Direct |
| 2013-06-03 | Non-Qualified Stock Option (right to buy) | $37.64 | A | 110000 | Acquired | 2020-06-02 | Common Stock (110000) | Direct |
| 2013-06-01 | Restricted Stock Unit | $0 | M | 10416 | Disposed | Common Stock (10416) | Direct | |
| 2013-06-01 | Restricted Stock Unit | $0 | M | 6250 | Disposed | Common Stock (6250) | Direct | |
| 2013-06-01 | Restricted Stock Unit | $0 | M | 11250 | Disposed | Common Stock (11250) | Direct | |
| 2013-06-01 | Restricted Stock Unit | $0 | M | 5025 | Disposed | Common Stock (5025) | Direct | |
| 2013-06-03 | Restricted Stock Unit | $0 | A | 36700 | Acquired | Common Stock (36700) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 20531 | Indirect |
| Common Stock | 240 | Indirect |
| Common Stock | 240 | Indirect |
Footnotes
F1: Sale prices for the reported transaction were in a range of $37.18 to $37.1916.
F2: Non-Derivative Securities Beneficially Owned includes shares acquired under NetApp Employee Stock Purchase Plan on May 31, 2013.
F3: Shares held in trust by Robert Salmon and Patricia Mertens-Salmon, trustees to the Salmon Trust UDT 10/6/2000
F4: Shares held in trust by Patricia Mertens-Salmon, Custodian for Michael T. Salmon UTMA CA.
F5: Shares held in trust by Patricia Mertens-Salmon, Custodian for Gregory Salmon UTMA CA.
F6: Option vests in a series of equal monthly installments over 48 months of service beginning with the one-month annniversary of the grant date.
F7: 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.