-----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, Q37qPzQurd8x5qBwIPtk4d6b+nge0eSLS3fKofkQJ1rFcvh+YI9IBkC8g+1C28aE 0Ueu12PpTEui+/zYoBSxXg== 0001249323-07-000010.txt : 20070208 0001249323-07-000010.hdr.sgml : 20070208 20070208142058 ACCESSION NUMBER: 0001249323-07-000010 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070207 FILED AS OF DATE: 20070208 DATE AS OF CHANGE: 20070208 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: 07591874 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 2007-02-07 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 2007-02-07 4 M 0 25000 15.32 A 3808933 I by Trust3 Common Stock 2007-02-07 4 M 0 25000 15.32 A 3833933 I by Trust3 Common Stock 2007-02-07 4 S 0 50000 37.4556 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) 15.32 2007-02-07 4 M 0 25000 0 D 2012-02-06 Common Stock 25000 125000 D Non-Qualified Stock Option (right to buy) 15.32 2007-02-07 4 M 0 25000 0 D 2012-02-06 Common Stock 25000 100000 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 September 20, 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 $37.27 to $37.66 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 with respect to 20% of the shares in equal monthly installments over the 12 months of service measured from the first anniversary of the option date; 30% of the shares in equal monthly installments over the following 12 months of service; and 50% of the shares in equal monthly installments over the final 12 months of service. 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. By: Janice Mahoney by Power of Attorney For: James K. Lau 2007-02-08 -----END PRIVACY-ENHANCED MESSAGE-----