0001614094-18-000049.txt : 20180605 0001614094-18-000049.hdr.sgml : 20180605 20180605164024 ACCESSION NUMBER: 0001614094-18-000049 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180601 FILED AS OF DATE: 20180605 DATE AS OF CHANGE: 20180605 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kurian George CENTRAL INDEX KEY: 0001586813 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27130 FILM NUMBER: 18881664 MAIL ADDRESS: STREET 1: C/O NETAPP STREET 2: 495 E. JAVA DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 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: 0427 BUSINESS ADDRESS: STREET 1: 1395 CROSSMAN AVENUE CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 4088226000 MAIL ADDRESS: STREET 1: 1395 CROSSMAN AVENUE 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 2018-06-01 0 0001002047 NetApp, Inc. NTAP 0001586813 Kurian George 1395 CROSSMAN AVE SUNNYVALE CA 94089 1 1 0 0 CEO Common Stock 2018-06-01 4 S 0 6000 68.3573 D 143636 D Common Stock 2018-06-01 4 M 0 10725 0.0 A 154361 D Common Stock 2018-06-01 4 F 0 5317 69.71 D 149044 D Common Stock 2018-06-01 4 M 0 10725 0.0 A 159769 D Common Stock 2018-06-01 4 F 0 5317 69.71 D 154452 D Common Stock 2018-06-01 4 M 0 14575 0.0 A 169027 D Common Stock 2018-06-01 4 F 0 7226 69.71 D 161801 D Common Stock 2018-06-01 4 M 0 14250 0.0 A 176051 D Common Stock 2018-06-01 4 F 0 7065 69.71 D 168986 D Common Stock 2018-06-03 4 M 0 13275 0.0 A 182261 D Common Stock 2018-06-03 4 F 0 6581 69.71 D 175680 D Non-Qualified Stock Option (right to buy) 40.7 2018-06-01 4 M 0 6000 68.3573 D 2014-09-20 2020-10-14 Common Stock 6000 30000 D Restricted Stock Unit 0.0 2018-06-01 4 M 0 10725 0.0 D 2016-06-01 2022-08-03 Common Stock 10725 32175 D Restricted Stock Unit 0.0 2018-06-01 4 M 0 10725 0.0 D 2016-06-01 2022-08-03 Common Stock 10725 21450 D Restricted Stock Unit 0.0 2018-06-01 4 M 0 14575 0.0 D 2017-06-01 2023-06-01 Common Stock 14575 29150 D Restricted Stock Unit 0.0 2018-06-01 4 M 0 14250 0.0 D 2018-06-01 2024-06-01 Common Stock 14250 42750 D Restricted Stock Unit 0.0 2018-06-03 4 M 0 13275 0.0 D 2015-06-03 Common Stock 13275 0 D The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 1, 2017. The price in Column 4 is a weighted average price. The prices actually received ranged from $68.00 to $68.78. 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. On October 15, 2013, the reporting person was granted 36,000 stock options of which 25% vested on September 20,2014. The balance of the shares vested monthly in equal installments over the next 36 months following September 20,2014, subject to continued service on each applicable vesting date. Restricted stock units convert into common stock on a one-for-one basis. On August 3, 2015, the reporting person was granted 42,900 restricted stock units, vesting in four equal annual installments beginning on June 1, 2016 and subject to continued service on each applicable vesting date. On June 1, 2016, the reporting person was granted 58,300 restricted stock units, vesting in four equal annual installments beginning on June 1, 2017 and subject to continued service on each applicable vesting date. On June 1, 2017, the reporting person was granted 57,000 restricted stock units, vesting in four equal annual installments beginning on June 1, 2018 and subject to continued service on each applicable vesting date. On June 3, 2014, the reporting person was granted 53,100 restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date, subject to continued service on each applicable vesting date. By: Roberta S. Cohen Attorney-in-Fact For: George Kurian 2018-06-05