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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Unit | $ 0 (2) | 06/01/2018 | M | 2,850 | 06/01/2016(3) | 06/23/2022 | Common Stock | 2,850 | $ 0 | 12,550 | D | ||||
Restricted Stock Unit | $ 0 (2) | 06/01/2018 | M | 4,850 | 06/01/2016(3) | 06/23/2022 | Common Stock | 4,850 | $ 0 | 7,700 | D | ||||
Restricted Stock Unit | $ 0 (2) | 06/01/2018 | M | 6,500 | 06/01/2017(4) | 06/01/2023 | Common Stock | 6,500 | $ 0 | 13,000 | D | ||||
Restricted Stock Unit | $ 0 (2) | 06/01/2018 | M | 5,000 | 06/01/2018(5) | 06/01/2024 | Common Stock | 5,000 | $ 0 | 15,000 | D | ||||
Restricted Stock Unit | $ 0 (2) | 06/03/2018 | M | 10,625 | 06/03/2015(6) | (6) | Common Stock | 10,625 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FAWCETT MATTHEW K 1395 CROSSMAN AVE SUNNYVALE, CA 94089 |
SVP, GC & Secretary |
By: Roberta S. Cohen Attorney-in-Fact For: Matthew K. Fawcett | 06/05/2018 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Shares purchased under the NetApp 1999 Employee Stock Purchase Plan on May 31, 2018. |
(2) | Restricted stock units convert into common stock on a one-for-one basis. |
(3) | 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. |
(4) | 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. |
(5) | 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. |
(6) | The restricted stock unit shares vest as to 25% of the shares on the one-year anniversary of the grant date, and 25% of the shares on each annual anniversary thereafter for the next 3 years. |