-----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, L9fbQNqLKc5WEEeoLIxHlybvRdI5IffX0fgHSRchtxf9YrKK0TefIG3E5IVGpG4S JA6JbSNK2MjCP2cDO6OwGg== 0001249323-04-000054.txt : 20040604 0001249323-04-000054.hdr.sgml : 20040604 20040604185547 ACCESSION NUMBER: 0001249323-04-000054 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040602 FILED AS OF DATE: 20040604 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: 04850805 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 edgar.xml PRIMARY DOCUMENT X0202 4 2004-06-02 0001002047 NETWORK APPLIANCE INC NTAP 0001197638 LAU JAMES K 495 E. JAVA DRIVE SUNNYVALE CA 94089 0 1 0 0 Exec VP, Corp Development Common Stock 41497 D Common Stock 85000 I by GRAT Common Stock 85000 I by GRAT Common Stock 16000 I by Trust Common Stock 16000 I by Trust Common Stock 2004-06-02 4 M 0 50000 4.508 A 4942783 I by Trust Common Stock 2004-06-04 4 S 0 25000 19.506 D 4917783 I by Trust Non-Qualified Stock Option (right to buy) 4.508 2004-06-02 4 M 0 50000 0 D 2008-04-30 Common Stock 50000 150000 D 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. Shares held in trust by James K. Lau and Katherine S. Lau, trustees to the KNSK Trust UDT 9/18/00 Amount of Securities Beneficially Owned includes 1,134 shares acquired under Network Appliance, Inc. Employee Stock Purchase Plan on 5/28/04. Janice Mahoney by Power-of-Attorney for James K. Lau 2004-06-04 -----END PRIVACY-ENHANCED MESSAGE-----