-----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, BuxWMjON/OlqBkLOAxhO99IU5UWuaDNbw5UtIsy890oKqk2x+k4oTNU3MhX2yyqb LdKr7LQCeUddJBpfK7NJjA== 0001249323-06-000201.txt : 20061130 0001249323-06-000201.hdr.sgml : 20061130 20061130124455 ACCESSION NUMBER: 0001249323-06-000201 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061129 FILED AS OF DATE: 20061130 DATE AS OF CHANGE: 20061130 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EARHART ALAN L CENTRAL INDEX KEY: 0001246846 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27130 FILM NUMBER: 061247547 BUSINESS ADDRESS: BUSINESS PHONE: 408-944-4460 MAIL ADDRESS: STREET 1: C/O QUANTUM CORPORATION STREET 2: 1650 TECHNOLOGY DRIVE, SUITE 800 CITY: SAN JOSE STATE: CA ZIP: 95110 4 1 edgardoc.xml PRIMARY DOCUMENT X0202 4 2006-11-29 0 0001002047 NETWORK APPLIANCE INC NTAP 0001246846 EARHART ALAN L 1370 PRITCHETT COURT LOS ALTOS CA 94024 1 0 0 0 Common Stock 2006-11-29 4 M 0 5000 32.86 A 5000 D Common Stock 2006-11-29 4 M 0 15000 23.73 A 20000 D Common Stock 2006-11-29 4 S 0 20000 39.5618 D 0 D Non-Qualified Stock Option (right to buy) 23.73 2006-11-29 4 M 0 15000 0 D 2015-08-30 Common Stock 15000 0 D Non-Qualified Stock Option (right to buy) 32.86 2006-11-29 4 M 0 5000 0 D 2014-12-06 Common Stock 5000 50000 D The sale prices for the reported transaction were in a range of $39.45 to $39.66 per share. Option is immediately exercisable, but any shares purchased under the option will be subject to repurchase by the Company at the option exercise price paid per share, upon the Optionee's cessation of Board service prior to vesting in those shares. The shares will vest upon the Optionee's continuation in Board service through the day immediately preceding the next Annual Stockholders Meeting following the grant date. The option shares are immediately exercisable as of the grant date and shall initially be unvested and subject to repurchase by the corporation at the exercise price per share. Optionee shall acquire a vested interest in 25,000 shares upon the completion of one year of Board service measured from the grant date; and the balance of the shares in a series of three equal annual installments of 10,000 shares upon the completion of each year of Board service over the three-year period measured from the first anniversary of the grant date. By: Janice Mahoney by Power of Attorney For: Alan L. Earhart 2006-11-30 -----END PRIVACY-ENHANCED MESSAGE-----