-----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, BjFvJuGGkIHFQQX7bOfvU33V/8DKCHiWcvhfSGBUaKGne7QRONT3wEYSNjuodsiM MI652P8BT81KnEcgmvLH4w== 0001249323-06-000207.txt : 20061215 0001249323-06-000207.hdr.sgml : 20061215 20061215203016 ACCESSION NUMBER: 0001249323-06-000207 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061215 FILED AS OF DATE: 20061215 DATE AS OF CHANGE: 20061215 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: 061281798 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 2006-12-15 0 0001002047 NETWORK APPLIANCE INC NTAP 0001197638 LAU JAMES K 495 EAST JAVA DRIVE SUNNYVALE CA 94089 0 1 0 0 Executive Vice President, Common Stock 2006-12-15 4 M 0 25000 9.99 A 3808933 I by Trust3 Common Stock 2006-12-15 4 S 0 25000 40.9244 D 3783933 I by Trust3 Common Stock 4787 D Common Stock 68600 I by Trust1 Common Stock 68600 I by Trust2 Non-Qualified Stock Option (right to buy) 9.99 2006-12-15 4 M 0 25000 0 D 2012-10-31 Common Stock 25000 3524 D The option exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 28, 2006. Shares held in trust by James K. Lau and Katherine S. Lau, trustees to the KNSK Trust UDT 9/18/00 The sale prices for the reported transaction were in a range of $40.45 to $41.27 per share. 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. Option vests in a series of equal monthly installments over 48 months of service beginning with the one-month annniversary of the grant date. By: Janice Mahoney by Power of Attorney For: James K. Lau 2006-12-15 -----END PRIVACY-ENHANCED MESSAGE-----