Initial Statement of Beneficial Ownership (3)
August 22 2019 - 4:16PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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Anderson Brad |
2. Date of Event Requiring Statement (MM/DD/YYYY)
8/14/2019
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3. Issuer Name and Ticker or Trading Symbol
NetApp, Inc. [NTAP]
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(Last)
(First)
(Middle)
1395 CROSSMAN AVE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) EVP, SSSBU and CIBU / |
(Street)
SUNNYVALE, CA 94089
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 12971 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Unit | 2/15/2019 (1) | 2/23/2025 | Common Stock | 41250 | $0.0 (2) | D | |
Restricted Stock Unit | 6/1/2019 (3) | 6/4/2025 | Common Stock | 12000 | $0.0 (2) | D | |
Restricted Stock Unit | 6/1/2020 (4) | 6/3/2026 | Common Stock | 17500 | $0.0 (2) | D | |
Explanation of Responses: |
(1) | On February 23, 2018, the reporting person was granted 55,000 restricted stock units, vesting in four equal annual installments beginning on February 15, 2019 and subject to continued service on each applicable vesting date. |
(2) | Restricted stock units convert into common stock on a one-for-one basis. |
(3) | 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. |
(4) | On June 3, 2019, the reporting person was granted 17,500 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
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Anderson Brad 1395 CROSSMAN AVE SUNNYVALE, CA 94089 |
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| EVP, SSSBU and CIBU |
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Signatures
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By: Roberta S Cohen Attorney-in-Fact For: Brad Anderson | | 8/22/2019 |
**Signature of Reporting Person | Date |
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