-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, S5fZxLqC34Z2z0A1iNjoUfpt9umXlYUCBnc6deoHQ/iSmfWOaVoza3Nx/2uaLFhl lp3kERLxG0VsforHF5DvlA== 0001249323-03-000072.txt : 20031224 0001249323-03-000072.hdr.sgml : 20031224 20031224211051 ACCESSION NUMBER: 0001249323-03-000072 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031222 FILED AS OF DATE: 20031224 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LAU JAMES K CENTRAL INDEX KEY: 0001197638 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27130 FILM NUMBER: 031074055 BUSINESS ADDRESS: STREET 1: 495 E. JAVA DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NETWORK APPLIANCE INC CENTRAL INDEX KEY: 0001002047 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER STORAGE DEVICES [3572] IRS NUMBER: 770307520 STATE OF INCORPORATION: CA FISCAL YEAR END: 0430 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 4 1 edgardoc.xml PRIMARY DOCUMENT X0201 4 2003-12-22 0 0001002047 NETWORK APPLIANCE INC NTAP 0001197638 LAU JAMES K 495 EAST JAVA DRIVE SUNNYVALE CA 94089 0 1 0 0 Executive VP, Corp Development Common Stock 2003-12-22 5 G 0 20000 0 D 5030531 I by Trust3 Common Stock 40363 D Common Stock 85000 I by GRAT1 Common Stock 85000 I by GRAT2 Common Stock 16000 I by Trust1 Common Stock 16000 I by Trust2 Shares held in trust by James K. Lau and Katherine S. Lau, trustees to the KNSK Trust UDT 9/18/00 Shares held in grantor retained annuity trust by Nextgen-K1 Trust U/I DTD Jan 30 2003, James K. Lau, Trustee Shares held in grantor retained annuity trust by Nextgen-J1 Trust U/I DTD Jan 30 2003, James K. Lau, Trustee Shares held in trust by Koon H. Lau, trustee to The Jason A. Lau 1998 Trust. Reporting person disclaims beneficial ownership of such shares. Shares held in trust by Koon H. Lau, trustee to The Jonathan A. Lau 1998 Trust. Reporting person disclaims beneficial ownership of such shares. Amount of Non-Derivative Securities Beneficially Owned by Direct Ownership includes 792 shares acquired under Network Appliance, Inc. Employee Stock Purchase Plan on November 28, 2003 By: Janice Mahoney by Power-of-Attorney For: James K. Lau 2003-12-24 -----END PRIVACY-ENHANCED MESSAGE-----