Statement of Changes in Beneficial Ownership (4)

Date : 06/04/2019 @ 9:27PM
Source : Edgar (US Regulatory)
Stock : NetApp Inc (NTAP)
Quote : 56.57  0.21 (0.37%) @ 4:59AM

Statement of Changes in Beneficial Ownership (4)

FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

RICHARD HENRI P
2. Issuer Name and Ticker or Trading Symbol

NetApp, Inc. [ NTAP ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
EVP, Go To Market
(Last)          (First)          (Middle)

1395 CROSSMAN AVE
3. Date of Earliest Transaction (MM/DD/YYYY)

5/31/2019
(Street)

SUNNYVALE, CA 94089
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   5/31/2019     J (1)    357   A $50.32   133333   (2) D    
Common Stock   6/1/2019     M    15157   A $0.0   148490   (2) D    
Common Stock   6/1/2019     F    7514   D $59.2   140976   D    
Common Stock   6/1/2019     M    9500   A $0.0   150476   (2) D    
Common Stock   6/1/2019     F    4710   D $59.2   145766   D    
Common Stock   6/1/2019     M    6125   A $0.0   151891   (2) D    
Common Stock   6/1/2019     F    3036   D $59.2   148855   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Unit   $0.0   (3) 6/1/2019     M         15157    6/1/2017   (4) 6/1/2023   Common Stock   15157   $0.0   15157   D    
Restricted Stock Unit   $0.0   (3) 6/1/2019     M         9500    6/1/2018   (5) 6/1/2024   Common Stock   9500   $0.0   19000   D    
Restricted Stock Unit   $0.0   (3) 6/1/2019     M         6125    6/1/2019   (6) 6/4/2025   Common Stock   6125   $0.0   18375   D    
Restricted Stock Unit   $0.0   (3) 6/3/2019     A      21500       6/1/2020   (7) 6/3/2026   Common Stock   21500   $0.0   21500   D    

Explanation of Responses:
(1)  Shares purchased under the NetApp 1999 Employee Stock Purchase plan on May 31, 2019.
(2)  Shares held in the account titled Henri Richard Gay Richard JT TEN
(3)  Restricted stock units convert into common stock on a one-for-one basis.
(4)  On June 1, 2016, the reporting person was granted 60,630 restricted stock units, vesting in four equal annual installments beginning on June 1, 2017 and subject to continued service on each applicable vesting date.
(5)  On June 1, 2017, the reporting person was granted 38,000 restricted stock units, vesting in four equal annual installments beginning on June 1, 2018 and subject to continued service on each applicable vesting date.
(6)  On June 4, 2018, the reporting person was granted 24,500 restricted stock units, vesting in four equal annual installments beginning on June 1, 2019 and subject to continued service on each applicable vesting date.
(7)  On June 3, 2019, the reporting person was granted 21,500 restricted stock units, vesting in four equal annual installments beginning on June 1, 2020 and subject to continued service on each applicable vesting date.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
RICHARD HENRI P
1395 CROSSMAN AVE
SUNNYVALE, CA 94089


EVP, Go To Market

Signatures
By: Roberta S Cohen Attorney-in-Fact For: Henri Richard 6/4/2019
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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