0001614094-16-000191.txt : 20161209 0001614094-16-000191.hdr.sgml : 20161209 20161209170456 ACCESSION NUMBER: 0001614094-16-000191 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161207 FILED AS OF DATE: 20161209 DATE AS OF CHANGE: 20161209 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: 0428 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HELD GERALD CENTRAL INDEX KEY: 0001212064 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27130 FILM NUMBER: 162044689 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2016-12-07 0 0001002047 NetApp, Inc. NTAP 0001212064 HELD GERALD 495 EAST JAVA DRIVE SUNNYVALE CA 94089 1 0 0 0 Common Stock 2016-12-07 4 M 0 5000 33.83 A 5259 D Common Stock 2016-12-07 4 S 0 400 36.12 D 4859 D Common Stock 2016-12-07 4 S 0 4600 36.11 D 259 D Common Stock 2016-12-08 4 M 0 5000 33.83 A 5259 D Common Stock 2016-12-08 4 S 0 5000 36.5 D 259 D Common Stock 2016-12-08 4 M 0 10000 33.83 A 10259 D Common Stock 2016-12-08 4 S 0 10000 36.6044 D 259 D Non-Qualified Stock Option (right to buy) 33.83 2016-12-07 4 M 0 5000 36.1108 D 2016-12-16 Common Stock 5000 22500 D Non-Qualified Stock Option (right to buy) 33.83 2016-12-08 4 M 0 5000 36.5 D 2016-12-16 Common Stock 5000 17500 D Non-Qualified Stock Option (right to buy) 33.83 2016-12-08 4 M 0 10000 36.6044 D 2016-12-16 Common Stock 10000 7500 D The price in Column 4 is a weighted average price. The prices actually received ranged from $36.60 to $36.64. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. 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. The reporting person shall acquire a vested interest in the option shares, and the corporation's repurchase right shall accordingly lapse, with respect to 12,500 shares upon the completion of one year of service as a member of the corporation's Board of Directors measured from the grant date; and the balance of the shares in a series of three successive equal annual installments upon the completion of each year of Board service over the three-year period measured from the first anniversay of the grant date. By: Roberta S. Cohen Attorney-in-Fact For: Gerald Held 2016-12-09