0001197637-13-000006.txt : 20130605
0001197637-13-000006.hdr.sgml : 20130605
20130605165300
ACCESSION NUMBER: 0001197637-13-000006
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130601
FILED AS OF DATE: 20130605
DATE AS OF CHANGE: 20130605
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: 13894823
MAIL ADDRESS:
STREET 1: 495 EAST JAVA DRIVE
CITY: SUNNYVALE
STATE: CA
ZIP: 94089
4
1
edgardoc.xml
PRIMARY DOCUMENT
X0306
4
2013-06-01
0
0001002047
NetApp, Inc.
NTAP
0001197637
WARMENHOVEN DANIEL J
495 EAST JAVA DRIVE
SUNNYVALE
CA
94089
1
1
0
0
Executive Chairman
Common Stock
2013-06-01
4
M
0
4175
0
A
62466
D
Common Stock
2013-06-01
4
M
0
5000
0
A
67466
D
Common Stock
2013-06-01
4
M
0
4325
0
A
71791
D
Common Stock
2013-06-01
4
F
0
2178
37.53
D
69613
D
Common Stock
2013-06-01
4
F
0
2609
37.53
D
67004
D
Common Stock
2013-06-01
4
F
0
2256
37.53
D
64748
D
Common Stock
2013-06-03
4
M
0
18425
19.22
A
83173
D
Common Stock
2013-06-03
4
S
0
18425
37.5768
D
64748
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)
19.22
2013-06-03
4
M
0
18425
0
D
2014-06-16
Common Stock
18425
221098
D
Non-Qualified Stock Option (right to buy)
37.64
2013-06-03
4
A
0
60000
0
A
2020-06-02
Common Stock
60000
60000
D
Restricted Stock Unit
0
2013-06-01
4
M
0
4175
0
D
Common Stock
4175
35500
D
Restricted Stock Unit
0
2013-06-01
4
M
0
5000
0
D
Common Stock
5000
30500
D
Restricted Stock Unit
0
2013-06-01
4
M
0
4325
0
D
Common Stock
4325
26175
D
Restricted Stock Unit
0
2013-06-03
4
A
0
20000
0
A
Common Stock
20000
46175
D
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.
By: Haleh Carrillo, Attorney-in-Fact For: Daniel J. Warmenhoven
2013-06-05