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NetApp, Inc. — Director's Dealing 2014
Sep 4, 2014
30233_dirs_2014-09-04_09db1e29-d598-4a7b-8dad-6ad9a7aad9dd.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: 2014-09-02
Reporting Person: WARMENHOVEN DANIEL J (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-09-02 | Common Stock | M | 20000.0 | $29.24 | Acquired | 20000 | Direct |
| 2014-09-02 | Common Stock | S | 20000.0 | $42.0369 | Disposed | 0 | Direct |
| 2014-09-02 | Common Stock | M | 40000.0 | $20.69 | Acquired | 40000 | Direct |
| 2014-09-02 | Common Stock | S | 40000.0 | $42.0397 | Disposed | 0 | Direct |
| 2014-09-02 | Common Stock | M | 20000.0 | $29.24 | Acquired | 20000 | Direct |
| 2014-09-02 | Common Stock | S | 20000.0 | $42.0379 | Disposed | 0 | Direct |
| 2014-09-02 | Common Stock | M | 40000.0 | $20.69 | Acquired | 40000 | Direct |
| 2014-09-02 | Common Stock | S | 40000.0 | $42.0395 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-09-02 | Non-Qualified Stock Option (right to buy) | $20.69 | M | 40000.0 | Disposed | 2016-05-31 | Common Stock (40000) | Direct |
| 2014-09-02 | Non-Qualified Stock Option (right to buy) | $20.69 | M | 40000.0 | Disposed | 2016-05-31 | Common Stock (40000) | Direct |
| 2014-09-02 | Non-Qualified Stock Option (right to buy) | $29.24 | M | 20000.0 | Disposed | 2015-05-31 | Common Stock (20000) | Direct |
| 2014-09-02 | Non-Qualified Stock Option (right to buy) | $29.24 | M | 20000.0 | Disposed | 2015-05-31 | Common Stock (20000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 2127774 | Indirect |
| Common Stock | 38032 | Indirect |
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: The price in Column 4 is a weighted average price. The prices actually received ranged from $41.96 to $42.31. 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.
F3: The price in Column 4 is a weighted average price. The prices actually received ranged from $41.96 to $42.32. 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.
F4: Shares held in trust by Peter F. Warmenhoven, trustee to The Daniel J. Warmenhoven 1991 Children's Trust. Reporting person disclaims beneficial ownership of such shares.
F5: Option vests in a series of equal monthly installments over 48 months of service beginning with the one-month annniversary of the grant date.