0001614094-19-000023.txt : 20190604 0001614094-19-000023.hdr.sgml : 20190604 20190604162418 ACCESSION NUMBER: 0001614094-19-000023 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190531 FILED AS OF DATE: 20190604 DATE AS OF CHANGE: 20190604 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FAWCETT MATTHEW K CENTRAL INDEX KEY: 0001447874 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27130 FILM NUMBER: 19876918 MAIL ADDRESS: STREET 1: 495 EAST 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: 0426 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 2019-05-31 0 0001002047 NetApp, Inc. NTAP 0001447874 FAWCETT MATTHEW K 1395 CROSSMAN AVE SUNNYVALE CA 94089 0 1 0 0 SVP, GC & Secretary Common Stock 2019-05-31 4 J 0 357 50.32 A 76722 D Common Stock 2019-06-01 4 M 0 4850 0.0 A 81572 D Common Stock 2019-06-01 4 F 0 2404 59.2 D 79168 D Common Stock 2019-06-01 4 M 0 2850 0.0 A 82018 D Common Stock 2019-06-01 4 F 0 1413 59.2 D 80605 D Common Stock 2019-06-01 4 M 0 6500 0.0 A 87105 D Common Stock 2019-06-01 4 F 0 3222 59.2 D 83883 D Common Stock 2019-06-01 4 M 0 5000 0.0 A 88883 D Common Stock 2019-06-01 4 F 0 2479 59.2 D 86404 D Common Stock 2019-06-01 4 M 0 3000 0.0 A 89404 D Common Stock 2019-06-01 4 F 0 1487 59.2 D 87917 D Common Stock 2019-06-03 4 S 0 11195 58.7633 D 76722 D Restricted Stock Unit 0.0 2019-06-01 4 M 0 4850 0.0 D 2016-06-01 2022-06-23 Common Stock 4850 2850 D Restricted Stock Unit 0.0 2019-06-01 4 M 0 2850 0.0 D 2016-06-01 2022-06-23 Common Stock 2850 0 D Restricted Stock Unit 0.0 2019-06-01 4 M 0 6500 0.0 D 2017-06-01 2023-06-01 Common Stock 6500 6500 D Restricted Stock Unit 0.0 2019-06-01 4 M 0 5000 0.0 D 2018-06-01 2024-06-01 Common Stock 5000 10000 D Restricted Stock Unit 0.0 2019-06-01 4 M 0 3000 0.0 D 2019-06-01 2025-06-01 Common Stock 3000 9000 D Restricted Stock Unit 0.0 2019-06-03 4 A 0 11500 0.0 A 2020-06-01 2026-06-03 Common Stock 11500 11500 D Shares purchased under the NetApp 1999 Employee Stock Purchase plan on May 31, 2019. The sale(s) reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on January 3, 2018. The price in Column 4 is a weighted average price. The prices actually received ranged from $58.42 to $59.10. 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. Restricted stock units convert into common stock on a one-for-one basis. On June 23, 2015, the reporting person was granted 19,400 restricted stock units, vesting in four equal annual installments beginning on June 1, 2016, subject to continued service on each applicable vesting date. On June 23, 2015, the reporting person was granted 11,400 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 26,000 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 20,000 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 4, 2018, the reporting person was granted 12,000 restricted stock units, vesting in four equal annual installments beginning on June 1, 2019 and subject to continued service on each applicable vesting date. On June 3, 2019, the reporting person was granted 11,500 restricted stock units, vesting in four equal annual installments beginning on June 1, 2020 and subject to continued service on each applicable vesting date. By: Roberta S Cohen Attorney-in-Fact For: Matthew K Fawcett 2019-06-04