Statement of Changes in Beneficial Ownership (4)
June 04 2019 - 4:27PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
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1. Name and Address of Reporting Person
*
REICH JOEL D
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2. Issuer Name
and
Ticker or Trading Symbol
NetApp, Inc.
[
NTAP
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Exec VP, Product Operations
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(Last)
(First)
(Middle)
1395 CROSSMAN AVE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/31/2019
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(Street)
SUNNYVALE, CA 94089
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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5/31/2019
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J
(1)
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358
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A
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$50.32
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55361
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D
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Common Stock
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6/1/2019
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M
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2850
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A
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$0.0
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58211
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D
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Common Stock
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6/1/2019
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F
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1292
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D
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$59.2
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56919
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D
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Common Stock
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6/1/2019
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M
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3425
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A
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$0.0
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60344
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D
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Common Stock
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6/1/2019
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F
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1552
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D
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$59.2
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58792
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D
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Common Stock
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6/1/2019
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M
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9000
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A
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$0.0
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67792
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D
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Common Stock
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6/1/2019
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F
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4080
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D
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$59.2
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63712
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D
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Common Stock
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6/1/2019
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M
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7250
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A
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$0.0
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70962
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D
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Common Stock
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6/1/2019
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F
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3287
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D
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$59.2
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67675
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D
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Common Stock
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6/1/2019
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M
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4000
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A
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$0.0
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71675
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D
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Common Stock
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6/1/2019
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F
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1813
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D
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$59.2
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69862
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D
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Common Stock
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6/4/2019
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S
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30000
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D
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$60.5914
(2)
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39862
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Unit
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$0.0
(3)
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6/1/2019
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M
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2850
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6/1/2016
(4)
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6/22/2022
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Common Stock
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2850
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$0.0
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0
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D
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Restricted Stock Unit
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$0.0
(3)
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6/1/2019
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M
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3425
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6/1/2016
(5)
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6/23/2022
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Common Stock
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3425
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$0.0
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0
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D
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Restricted Stock Unit
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$0.0
(3)
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6/1/2019
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M
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9000
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6/1/2017
(6)
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6/1/2023
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Common Stock
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9000
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$0.0
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9000
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D
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Restricted Stock Unit
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$0.0
(3)
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6/1/2019
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M
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7250
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6/1/2018
(7)
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6/1/2024
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Common Stock
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7250
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$0.0
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14500
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D
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Restricted Stock Unit
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$0.0
(3)
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6/1/2019
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M
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4000
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6/1/2019
(8)
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6/4/2025
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Common Stock
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4000
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$0.0
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12000
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D
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Explanation of Responses:
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(1)
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Shares purchased under the NetApp 1999 Employee Stock Purchase plan on May 31, 2019.
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(2)
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The price in Column 4 is a weighted average price. The prices actually received ranged from $60.56 to $60.68. 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.
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(3)
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Restricted stock units convert into common stock on a one-for-one basis.
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(4)
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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, subject to continued service on each applicable vesting date.
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(5)
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On June 23, 2015, the reporting person was granted 13,700 restricted stock units, vesting in four equal annual installments beginning on June 1, 2016, subject to continued service on each applicable vesting date.
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(6)
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On June 1, 2016, the reporting person was granted 36,000 restricted stock units, vesting in four equal annual installments beginning on June 1, 2017 and subject to continued service on each applicable vesting date.
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(7)
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On June 1, 2017, the reporting person was granted 29,000 restricted stock units, vesting in four equal annual installments beginning on June 1, 2018 and subject to continued service on each applicable vesting date.
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(8)
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On June 4, 2018, the reporting person was granted 16,000 restricted stock units, vesting in four equal annual installments beginning on June 1, 2019 and subject to continued service on each applicable vesting date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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REICH JOEL D
1395 CROSSMAN AVE
SUNNYVALE, CA 94089
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Exec VP, Product Operations
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Signatures
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By: Roberta S Cohen Attorney-in-Fact For: Joel D Reich
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6/4/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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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