0001197637-14-000014.txt : 20140623 0001197637-14-000014.hdr.sgml : 20140623 20140603160113 ACCESSION NUMBER: 0001197637-14-000014 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140601 FILED AS OF DATE: 20140603 DATE AS OF CHANGE: 20140603 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: 0425 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: 14887474 MAIL ADDRESS: STREET 1: 495 EAST JAVA DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2014-06-01 0 0001002047 NetApp, Inc. NTAP 0001197637 WARMENHOVEN DANIEL J 495 EAST JAVA DRIVE SUNNYVALE CA 94089 1 1 0 0 Executive Chairman Common Stock 2014-06-01 4 M 0 5000.0 0.0 A 70415 D Common Stock 2014-06-01 4 M 0 4325.0 0.0 A 74740 D Common Stock 2014-06-01 4 M 0 4175.0 0.0 A 78915 D Common Stock 2014-06-01 4 F 0 2609.0 37.01 D 76306 D Common Stock 2014-06-01 4 F 0 2256.0 37.01 D 74050 D Common Stock 2014-06-01 4 F 0 2178.0 37.01 D 71872 D Common Stock 2014-06-02 4 M 0 18423.0 19.22 A 90295 D Common Stock 2014-06-02 4 S 0 18423.0 36.26 D 71872 D Common Stock 2061031 I by Trust Common Stock 38032 I by Trust2 Non-Qualified Stock Option (right to buy) 19.22 2014-06-02 4 M 0 18423.0 0.0 D 2014-06-16 Common Stock 18423 0 D Restricted Stock Unit 0.0 2014-06-01 4 M 0 5000.0 0.0 D Common Stock 5000 41175 D Restricted Stock Unit 0.0 2014-06-01 4 M 0 4325.0 0.0 D Common Stock 4325 36850 D Restricted Stock Unit 0.0 2014-06-01 4 M 0 4175.0 0.0 D Common Stock 4175 32675 D Includes 356 shares purchased pursuant to NetApp's 1999 Employee Stock Purchase Plan. 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 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. 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: Michael Nolan, Attorney-in-Fact For: Daniel J. Warmenhoven 2014-06-03