-----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, FlyaTB75Te1AIYI69obLKV4uTEkF5tCCBhnz6DwhRkxwdz39se+6TtDB8gOf4xr5 5cC31xBD6TYIhZMy1LW6cg== 0001249323-04-000100.txt : 20040730 0001249323-04-000100.hdr.sgml : 20040730 20040730193609 ACCESSION NUMBER: 0001249323-04-000100 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040729 FILED AS OF DATE: 20040730 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: 04943465 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 X0202 4 2004-07-29 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 2004-07-29 4 S 0 33000 18.8597 D 4789933 I by Trust3 Common Stock 41497 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 The sale(s) reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 25, 2004. 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. By: Janice Mahoney by Power-of-Attorney For: James K. Lau 2004-07-30 -----END PRIVACY-ENHANCED MESSAGE-----