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NetApp, Inc. — Director's Dealing 2014
Jun 3, 2014
30233_dirs_2014-06-03_6338be3e-ac10-40b1-b424-27d7613d3997.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: 2014-06-01
Reporting Person: WARMENHOVEN DANIEL J (Director, Executive Chairman)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-06-01 | Common Stock | M | 5000.0 | $0.0 | Acquired | 70415 | Direct |
| 2014-06-01 | Common Stock | M | 4325.0 | $0.0 | Acquired | 74740 | Direct |
| 2014-06-01 | Common Stock | M | 4175.0 | $0.0 | Acquired | 78915 | Direct |
| 2014-06-01 | Common Stock | F | 2609.0 | $37.01 | Disposed | 76306 | Direct |
| 2014-06-01 | Common Stock | F | 2256.0 | $37.01 | Disposed | 74050 | Direct |
| 2014-06-01 | Common Stock | F | 2178.0 | $37.01 | Disposed | 71872 | Direct |
| 2014-06-02 | Common Stock | M | 18423.0 | $19.22 | Acquired | 90295 | Direct |
| 2014-06-02 | Common Stock | S | 18423.0 | $36.26 | Disposed | 71872 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-06-02 | Non-Qualified Stock Option (right to buy) | $19.22 | M | 18423.0 | Disposed | 2014-06-16 | Common Stock (18423) | Direct |
| 2014-06-01 | Restricted Stock Unit | $0.0 | M | 5000.0 | Disposed | Common Stock (5000) | Direct | |
| 2014-06-01 | Restricted Stock Unit | $0.0 | M | 4325.0 | Disposed | Common Stock (4325) | Direct | |
| 2014-06-01 | Restricted Stock Unit | $0.0 | M | 4175.0 | Disposed | Common Stock (4175) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 2061031 | Indirect |
| Common Stock | 38032 | Indirect |
Footnotes
F1: Includes 356 shares purchased pursuant to NetApp's 1999 Employee Stock Purchase Plan.
F2: The transaction(s) reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
F3: 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.
F4: Option vests with respect to 25% of the option shares on the first anniversary of the grant date and the balance in a series of equal monthly installments over the next 36 months of service thereafter.
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.