Filing Details
- Accession Number:
- 0001614094-20-000027
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-06-03 16:43:49
- Reporting Period:
- 2020-05-29
- Accepted Time:
- 2020-06-03 16:43:49
- 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 |
|---|---|---|---|---|---|---|---|
| 1447874 | K Matthew Fawcett | 1395 Crossman Ave Sunnyvale CA 94089 | Svp, Gc & Secretary | No | 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 | 2020-05-29 | 425 | $37.86 | 38,952 | No | 4 | J | Direct | |
| Common Stock | Acquisiton | 2020-06-01 | 18,000 | $0.00 | 56,952 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2020-06-01 | 8,015 | $42.67 | 48,937 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2020-06-01 | 6,500 | $0.00 | 55,437 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-06-01 | 2,247 | $42.67 | 53,190 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2020-06-01 | 5,000 | $0.00 | 58,190 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-06-01 | 1,729 | $42.67 | 56,461 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2020-06-01 | 3,000 | $0.00 | 59,461 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-06-01 | 1,037 | $42.67 | 58,424 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2020-06-01 | 2,875 | $0.00 | 61,299 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-06-01 | 994 | $42.67 | 60,305 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2020-06-02 | 9,487 | $42.74 | 50,818 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | J | Direct | |
| No | 4 | A | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Unit | Disposition | 2020-06-01 | 6,500 | $0.00 | 6,500 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2020-06-01 | 5,000 | $0.00 | 5,000 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2020-06-01 | 3,000 | $0.00 | 3,000 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2020-06-01 | 2,875 | $0.00 | 2,875 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2017-06-01 | 2023-06-01 | No | 4 | M | Direct |
| 5,000 | 2018-06-01 | 2024-06-01 | No | 4 | M | Direct |
| 6,000 | 2019-06-01 | 2025-06-01 | No | 4 | M | Direct |
| 8,625 | 2020-06-01 | 2026-06-03 | No | 4 | M | Direct |
Footnotes
- Shares purchased under the NetApp 1999 Employee Stock Purchase plan on May 29, 2020.
- Represents the settlement of performance share unites originally granted on June 1, 2017.
- Performance stock units convert into stock on a one-for-one basis.
- The sale(s) reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on January 3, 2018.
- The price in Column 4 is a weighted average price. The prices actually received ranged from $42.52 to $42.95. 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.
- Restricted stock units convert into common stock on a one-for-one basis.
- On June 1, 2016, the reporting person was granted 26,000 restricted stock units, vesting in four equal annual installments beginning on June 1, 2017 and subject to continued service on each applicable vesting date.
- 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.
- 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.
- 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.
Billionaire Hedge Funds
