0001293396-13-000001.txt : 20130107
0001293396-13-000001.hdr.sgml : 20130107
20130107181113
ACCESSION NUMBER: 0001293396-13-000001
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130103
FILED AS OF DATE: 20130107
DATE AS OF CHANGE: 20130107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WARMENHOVEN DANIEL J
CENTRAL INDEX KEY: 0001197637
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27130
FILM NUMBER: 13516257
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NetApp, Inc.
CENTRAL INDEX KEY: 0001002047
STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER STORAGE DEVICES [3572]
IRS NUMBER: 770307520
STATE OF INCORPORATION: CA
FISCAL YEAR END: 0426
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
FORMER COMPANY:
FORMER CONFORMED NAME: NETWORK APPLIANCE INC
DATE OF NAME CHANGE: 19951010
4
1
edgardoc.xml
PRIMARY DOCUMENT
X0306
4
2013-01-03
0
0001002047
NetApp, Inc.
NTAP
0001197637
WARMENHOVEN DANIEL J
495 EAST JAVA DRIVE
SUNNYVALE
CA
94089
1
0
0
0
Common Stock
2013-01-03
4
M
0
78727
15.711
A
136479
D
Common Stock
2013-01-03
4
S
0
78727
34.1438
D
57752
D
Common Stock
2013-01-03
4
M
0
3617
6.91
A
61369
D
Common Stock
2013-01-03
4
S
0
3617
34.1438
D
57752
D
Common Stock
170000
I
by Lmtd Ptnrshp2
Common Stock
2007231
I
by Trust
Common Stock
38032
I
by Trust2
Non-Qualified Stock Option (right to buy)
6.91
2013-01-03
4
M
0
3617
0
D
2014-01-01
Common Stock
3617
0
D
Non-Qualified Stock Option (right to buy)
15.711
2013-01-03
4
M
0
78727
0
D
2003-06-09
2013-05-08
Common Stock
78727
314909
D
The transaction(s) reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
Shares held by Warmenhoven Ventures LP, a limited partnership of which the Warmenhoven Management Trust is the general partner, of which the reporting person and his wife are the trustees. Reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
Shares held in trust by Daniel J. Warmenhoven & Charmaine A. Warmenhoven, trustees to The Warmenhoven 1987 Revocable Trust UTA dated 12/16/87, as amended.
Shares held in trust by Richard A. Andre, trustee to The Daniel J. Warmenhoven 1991 Children's Trust. Reporting person disclaims beneficial ownership of such shares.
This option was granted under the Network Appliance, Inc. Salary Investment Option Program of the Company's 1995 Stock Incentive Plan, pursuant to which the reporting person has elected, by irrevocable election, to apply a portion of his base salary for calendar year 2004 to the acquisition of a below-market option grant.
Option vests with respect to 1/12 of the option shares on January 31, 2004 and the balance in a series of equal month installments over the next 11 months of service thereafter.
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: Haleh Carrillo, Attorney-In-Fact For: Daniel J. Warmenhoven
2013-01-07