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NetApp, Inc. — Director's Dealing 2015
Jun 6, 2015
30233_dirs_2015-06-05_b73ac2a4-7cbf-48c0-b6ba-237251580cf6.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: 2015-06-03
Reporting Person: GEORGENS THOMAS (Director, Former CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-06-03 | Common Stock | M | 17125.0 | — | Acquired | 37620 | Direct |
| 2015-06-03 | Common Stock | F | 6728.0 | $33.245 | Disposed | 30892 | Direct |
| 2015-06-03 | Common Stock | M | 31250.0 | — | Acquired | 62142 | Direct |
| 2015-06-03 | Common Stock | F | 16306.0 | $33.245 | Disposed | 45836 | Direct |
| 2015-06-05 | Common Stock | S | 34705.0 | $33.8052 | Disposed | 11131 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-06-03 | Restricted Stock Unit | $0.0 | M | 17125.0 | Disposed | Common Stock (17125) | Direct | |
| 2015-06-03 | Restricted Stock Unit | $0.0 | M | 31250.0 | Disposed | Common Stock (31250) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 532 | Indirect |
Footnotes
F1: Restricted stock units convert into common stock on a one-for-one basis.
F2: The price in Column 4 is a weighted average price. The prices actually received ranged from $33.73 to $33.85. 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: Mr. Georgens disclaims beneficial ownership of these shares.
F4: Non-Derivative Securities Beneficially Owned includes shares acquired under NetApp Employee Stock Purchase Plan on May 31, 2013.
F5: On June 3, 2013, the reporting person was granted 68,500 restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date, subject to continued service on each applicable vesting date.
F6: On June 3, 2014, the reporting person was granted 125,000 restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date, subject to continued service on each applicable vesting date.