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| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | ||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
NetApp, Inc. [ NTAP ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 05/31/2018 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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 | 05/31/2018 | J(1) | 981 | A | $21.3095 | 39,668 | D | |||
| Common Stock | 06/01/2018 | M | 2,850 | A | $0.0 | 42,518 | D | |||
| Common Stock | 06/01/2018 | F | 1,413 | D | $69.71 | 41,105 | D | |||
| Common Stock | 06/01/2018 | M | 4,850 | A | $0.0 | 45,955 | D | |||
| Common Stock | 06/01/2018 | F | 2,404 | D | $69.71 | 43,551 | D | |||
| Common Stock | 06/01/2018 | M | 6,500 | A | $0.0 | 50,051 | D | |||
| Common Stock | 06/01/2018 | F | 3,222 | D | $69.71 | 46,829 | D | |||
| Common Stock | 06/01/2018 | M | 5,000 | A | $0.0 | 51,829 | D | |||
| Common Stock | 06/01/2018 | F | 2,479 | D | $69.71 | 49,350 | D | |||
| Common Stock | 06/03/2018 | M | 10,625 | A | $0.0 | 59,975 | D | |||
| Common Stock | 06/03/2018 | F | 5,267 | D | $69.71 | 54,708 | D | |||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 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 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: 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(2) | 06/01/2018 | M | 2,850 | 06/01/2016(3) | 06/23/2022 | Common Stock | 2,850 | $0.0 | 12,550 | D | ||||
| Restricted Stock Unit | $0.0(2) | 06/01/2018 | M | 4,850 | 06/01/2016(3) | 06/23/2022 | Common Stock | 4,850 | $0.0 | 7,700 | D | ||||
| Restricted Stock Unit | $0.0(2) | 06/01/2018 | M | 6,500 | 06/01/2017(4) | 06/01/2023 | Common Stock | 6,500 | $0.0 | 13,000 | D | ||||
| Restricted Stock Unit | $0.0(2) | 06/01/2018 | M | 5,000 | 06/01/2018(5) | 06/01/2024 | Common Stock | 5,000 | $0.0 | 15,000 | D | ||||
| Restricted Stock Unit | $0.0(2) | 06/03/2018 | M | 10,625 | 06/03/2015(6) | (6) | Common Stock | 10,625 | $0.0 | 0 | D | ||||
| Explanation of Responses: |
| 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. |
| By: Roberta S. Cohen Attorney-in-Fact For: Matthew K. Fawcett | 06/05/2018 | |
| ** 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 Number. | ||