Filing Details

Accession Number:
0001197637-13-000006
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-06-05 16:53:00
Reporting Period:
2013-06-01
Filing Date:
2013-06-05
Accepted Time:
2013-06-05 16:53:00
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1002047 Netapp Inc. NTAP Computer Storage Devices (3572) 770307520
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1197637 J Daniel Warmenhoven 495 East Java Drive
Sunnyvale CA 94089
Executive Chairman Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-06-01 4,175 $0.00 62,466 No 4 M Direct
Common Stock Acquisiton 2013-06-01 5,000 $0.00 67,466 No 4 M Direct
Common Stock Acquisiton 2013-06-01 4,325 $0.00 71,791 No 4 M Direct
Common Stock Disposition 2013-06-01 2,178 $37.53 69,613 No 4 F Direct
Common Stock Disposition 2013-06-01 2,609 $37.53 67,004 No 4 F Direct
Common Stock Disposition 2013-06-01 2,256 $37.53 64,748 No 4 F Direct
Common Stock Acquisiton 2013-06-03 18,425 $19.22 83,173 No 4 M Direct
Common Stock Disposition 2013-06-03 18,425 $37.58 64,748 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 F Direct
No 4 F Direct
No 4 F Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2013-06-03 18,425 $0.00 18,425 $19.22
Common Stock Non-Qualified Stock Option (right to buy) Acquisiton 2013-06-03 60,000 $0.00 60,000 $37.64
Common Stock Restricted Stock Unit Disposition 2013-06-01 4,175 $0.00 4,175 $0.00
Common Stock Restricted Stock Unit Disposition 2013-06-01 5,000 $0.00 5,000 $0.00
Common Stock Restricted Stock Unit Disposition 2013-06-01 4,325 $0.00 4,325 $0.00
Common Stock Restricted Stock Unit Acquisiton 2013-06-03 20,000 $0.00 20,000 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
221,098 2014-06-16 No 4 M Direct
60,000 2020-06-02 No 4 A Direct
35,500 No 4 M Direct
30,500 No 4 M Direct
26,175 No 4 M Direct
46,175 No 4 A Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 170,000 Indirect by Lmtd Ptnrshp2
Common Stock 1,969,231 Indirect by Trust
Common Stock 38,032 Indirect by Trust2
Footnotes
  1. The transaction(s) reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
  2. Non-Derivative Securities Beneficially Owned includes shares acquired under NetApp Employee Stock Purchase Plan on May 31, 2013.
  3. Shares held by Warmenhoven Ventures LP, a limited partnership of which the Warmenhoven Management Trust is the general partner, of which the reporting person and his wife are the trustees. Reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
  4. 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.
  5. 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.
  6. Option vests in a series of equal monthly installments over 48 months of service beginning with the one-month annniversary of the grant date.
  7. 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.