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NetApp, Inc. — Director's Dealing 2021
Jun 4, 2021
30233_dirs_2021-06-03_c7d98a58-65d9-4065-be70-25c722092ac2.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: 2021-05-28
Reporting Person: FAWCETT MATTHEW K (SVP, GC & Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-05-28 | Common Stock | J | 585 | $36.2695 | Acquired | 54078 | Direct |
| 2021-06-01 | Common Stock | M | 5000 | $0.0 | Acquired | 59078 | Direct |
| 2021-06-01 | Common Stock | F | 1563 | $76.71 | Disposed | 57515 | Direct |
| 2021-06-01 | Common Stock | M | 3000 | $0.0 | Acquired | 60515 | Direct |
| 2021-06-01 | Common Stock | F | 938 | $76.71 | Disposed | 59577 | Direct |
| 2021-06-01 | Common Stock | M | 2875 | $0.0 | Acquired | 62452 | Direct |
| 2021-06-01 | Common Stock | F | 899 | $76.71 | Disposed | 61553 | Direct |
| 2021-06-01 | Common Stock | M | 4375 | $0.0 | Acquired | 65928 | Direct |
| 2021-06-01 | Common Stock | F | 1702 | $76.71 | Disposed | 64226 | Direct |
| 2021-06-01 | Common Stock | A | 6937 | $0.0 | Acquired | 71163 | Direct |
| 2021-06-01 | Common Stock | F | 3210 | $76.71 | Disposed | 67953 | Direct |
| 2021-06-01 | Common Stock | A | 3977 | $0.0 | Acquired | 71930 | Direct |
| 2021-06-01 | Common Stock | F | 1840 | $76.71 | Disposed | 70090 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-06-01 | Restricted Stock Unit | $0.0 | M | 5000 | Disposed | 2024-06-01 | Common Stock (5000) | Direct |
| 2021-06-01 | Restricted Stock Unit | $0.0 | M | 3000 | Disposed | 2025-06-01 | Common Stock (3000) | Direct |
| 2021-06-01 | Restricted Stock Unit | $0.0 | M | 2875 | Disposed | 2026-06-03 | Common Stock (2875) | Direct |
| 2021-06-01 | Restricted Stock Unit | $0.0 | M | 4375 | Disposed | 2027-07-01 | Common Stock (4375) | Direct |
Footnotes
F1: Shares purchased under the NetApp 1999 Employee Stock Purchase plan on May 28, 2021.
F2: Includes 2,675 shares received under the broad-based dividend reinvestment plan.
F3: Represents the settlement of TSR performance share units originally granted on June 4, 2018.
F4: Performance stock units convert into stock on a one-for-one basis.
F5: Represents the settlement of AOI performance share units originally granted on June 4, 2018.
F6: Restricted stock units convert into common stock on a one-for-one basis.
F7: On June 1, 2017, the reporting person was granted 20,000 restricted stock units, vesting in four equal annual installments beginning on June 1, 2018 and subject to continued service on each applicable vesting date.
F8: On June 4, 2018, the reporting person was granted 12,000 restricted stock units, vesting in four equal annual installments beginning on June 1, 2019 and subject to continued service on each applicable vesting date.
F9: On June 3, 2019, the reporting person was granted 11,500 restricted stock units, vesting in four equal annual installments beginning on June 1, 2020 and subject to continued service on each applicable vesting date.
F10: On July 1, 2020, the reporting person was granted 17,500 restricted stock units, vesting in four equal annual installments beginning on June 1, 2021 and subject to continued service on each applicable vesting date.