Filing Details
- Accession Number:
- 0001614094-16-000191
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-12-09 17:04:56
- Reporting Period:
- 2016-12-07
- Filing Date:
- 2016-12-09
- Accepted Time:
- 2016-12-09 17:04:56
- 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 |
|---|---|---|---|---|---|---|---|
| 1212064 | Gerald Held | 495 East Java Drive Sunnyvale CA 94089 | Yes | No | 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 | 2016-12-07 | 5,000 | $33.83 | 5,259 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-12-07 | 400 | $36.12 | 4,859 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-12-07 | 4,600 | $36.11 | 259 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-12-08 | 5,000 | $33.83 | 5,259 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-12-08 | 5,000 | $36.50 | 259 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-12-08 | 10,000 | $33.83 | 10,259 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-12-08 | 10,000 | $36.60 | 259 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2016-12-07 | 5,000 | $36.11 | 5,000 | $33.83 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2016-12-08 | 5,000 | $36.50 | 5,000 | $33.83 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2016-12-08 | 10,000 | $36.60 | 10,000 | $33.83 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 22,500 | 2016-12-16 | No | 4 | M | Direct | |
| 17,500 | 2016-12-16 | No | 4 | M | Direct | |
| 7,500 | 2016-12-16 | No | 4 | M | Direct |
Footnotes
- The price in Column 4 is a weighted average price. The prices actually received ranged from $36.60 to $36.64. 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.
- The option shares are immediately exercisable as of the grant date and shall initially be unvested and subject to repurchase by the corporation at the exercise price per share. The reporting person shall acquire a vested interest in the option shares, and the corporation's repurchase right shall accordingly lapse, with respect to 12,500 shares upon the completion of one year of service as a member of the corporation's Board of Directors measured from the grant date; and the balance of the shares in a series of three successive equal annual installments upon the completion of each year of Board service over the three-year period measured from the first anniversay of the grant date.
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