0001197637-13-000004.txt : 20130403 0001197637-13-000004.hdr.sgml : 20130403 20130403173113 ACCESSION NUMBER: 0001197637-13-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130401 FILED AS OF DATE: 20130403 DATE AS OF CHANGE: 20130403 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NetApp, Inc. CENTRAL INDEX KEY: 0001002047 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER STORAGE DEVICES [3572] IRS NUMBER: 770307520 STATE OF INCORPORATION: CA FISCAL YEAR END: 0426 BUSINESS ADDRESS: STREET 1: 495 EAST JAVA DR CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 4088226000 MAIL ADDRESS: STREET 1: 495 EAST JAVA DR CITY: SUNNYVALE STATE: CA ZIP: 94089 FORMER COMPANY: FORMER CONFORMED NAME: NETWORK APPLIANCE INC DATE OF NAME CHANGE: 19951010 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WARMENHOVEN DANIEL J CENTRAL INDEX KEY: 0001197637 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27130 FILM NUMBER: 13740778 MAIL ADDRESS: STREET 1: 495 EAST JAVA DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2013-04-01 0 0001002047 NetApp, Inc. NTAP 0001197637 WARMENHOVEN DANIEL J 495 EAST JAVA DRIVE SUNNYVALE CA 94089 1 1 0 0 Executive Chairman Common Stock 2013-04-01 4 M 0 18425 19.22 A 76177 D Common Stock 2013-04-01 4 S 0 18425 33.9058 D 57752 D Common Stock 2013-04-01 4 M 0 78727 15.711 A 136479 D Common Stock 2013-04-01 4 S 0 78727 33.9058 D 57752 D Common Stock 170000 I by Lmtd Ptnrshp2 Common Stock 1969231 I by Trust Common Stock 38032 I by Trust2 Non-Qualified Stock Option (right to buy) 15.711 2013-04-01 4 M 0 78727 0 D 2003-06-09 2013-05-08 Common Stock 78727 78728 D Non-Qualified Stock Option (right to buy) 19.22 2013-04-01 4 M 0 18425 0 D 2014-06-16 Common Stock 18425 257948 D The transaction(s) reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. 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 in a series of equal monthly installments over 48 months of service beginning with the one-month annniversary of the grant date. 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. By: Haleh Carrillo, Attorney-In-Fact For: Daniel J. Warmenhoven 2013-04-03