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
- The transaction(s) reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- Non-Derivative Securities Beneficially Owned includes shares acquired under NetApp Employee Stock Purchase Plan on May 31, 2013.
- 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.
- 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.
- 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.
- Option vests in a series of equal monthly installments over 48 months of service beginning with the one-month annniversary of the grant date.
- 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.