SEC FORM
3
SEC Form 3
FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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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OMB APPROVAL |
OMB Number: |
3235-0104 |
Estimated average burden |
hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 12/07/2005
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3. Issuer Name and Ticker or Trading Symbol
NETWORK APPLIANCE INC
[ NTAP ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
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10% Owner |
X |
Officer (give title below) |
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Other (specify below) |
Executive VP, Field Operations |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Beneficially Owned |
1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Common Stock |
10,256 |
D |
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Common Stock |
100,360 |
I |
by Trust
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Common Stock |
240 |
I |
by Trust
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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 Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Incentive Stock Option (right to buy) |
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11/01/2009 |
Common Stock |
1,320 |
18.5 |
D |
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Non-Qualified Stock Option (right to buy) |
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11/01/2009 |
Common Stock |
22,680 |
18.5 |
D |
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Non-Qualified Stock Option (right to buy) |
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01/02/2010 |
Common Stock |
2,648 |
14.167 |
D |
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Incentive Stock Option (right to buy) |
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01/31/2010 |
Common Stock |
1,854 |
53.907 |
D |
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Non-Qualified Stock Option (right to buy) |
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01/31/2010 |
Common Stock |
148,146 |
53.907 |
D |
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Non-Qualified Stock Option (right to buy) |
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01/01/2011 |
Common Stock |
2,187 |
17.146 |
D |
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Incentive Stock Option (right to buy) |
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04/25/2011 |
Common Stock |
4,965 |
20.16 |
D |
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Non-Qualified Stock Option (right to buy) |
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04/25/2011 |
Common Stock |
95,035 |
20.16 |
D |
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Incentive Stock Option (right to buy) |
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02/06/2012 |
Common Stock |
1,250 |
15.32 |
D |
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Non-Qualified Stock Option (right to buy) |
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02/06/2012 |
Common Stock |
28,750 |
15.32 |
D |
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Incentive Stock Option (right to buy) |
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02/06/2012 |
Common Stock |
2,083 |
15.32 |
D |
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Non-Qualified Stock Option (right to buy) |
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02/06/2012 |
Common Stock |
22,917 |
15.32 |
D |
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Non-Qualified Stock Option (right to buy) |
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10/31/2012 |
Common Stock |
12,500 |
9.99 |
D |
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Incentive Stock Option (right to buy) |
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05/08/2013 |
Common Stock |
9,478 |
15.711 |
D |
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Non-Qualified Stock Option (right to buy) |
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05/08/2013 |
Common Stock |
65,522 |
15.711 |
D |
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Incentive Stock Option (right to buy) |
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05/02/2014 |
Common Stock |
5,216 |
19.17 |
D |
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Non-Qualified Stock Option (right to buy) |
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05/02/2014 |
Common Stock |
114,784 |
19.17 |
D |
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Non-Qualified Stock Option (right to buy) |
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09/01/2014 |
Common Stock |
50,000 |
20.61 |
D |
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Non-Qualified Stock Option (right to buy) |
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05/31/2015 |
Common Stock |
70,000 |
29.24 |
D |
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Explanation of Responses: |
Remarks: |
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Janice Mahoney by Power of Attorney for Robert E. Salmon |
12/09/2005 |
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** 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
5
(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. |
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that the
undersigned hereby constitutes and appoints each of Andy
Kryder and Janice Mahoney his, her or its true and lawful
attorney-in-fact to:
(1) execute for and on behalf of the undersigned, in the
undersigned's capacity as an officer, director and/or 10%
stockholder of Network Appliance, Inc. (the "Company"),
any and all Form 3, 4 and 5 reports required to be filed by
the undersigned in accordance with Section 16(a) of the
Securities Exchange Act of 1934 and the rules thereunder;
(2) do and perform any and all acts for and on behalf of
the undersigned which may be necessary or desirable to
complete and execute any such Form 3, 4 and 5 report and
timely file such report with the Securities and Exchange
Commission and any stock exchange or similar authority;
and
(3) take any other action of any type whatsoever in
connection with the foregoing which, in the opinion of such
attorney-in-fact, may be of benefit to, in the best interest of,
or legally required by, the undersigned, it being understood
that the documents executed by such attorney-in-fact on
behalf of the undersigned, pursuant to this Power of
Attorney, shall be in such form and shall contain such
terms and conditions as such attorney-in-fact may approve
in his discretion.
The undersigned hereby grants to each such attorney-in-
fact full power and authority to do and perform each and
every act and thing whatsoever requisite, necessary, and
proper to be done in the exercise of any of the rights and
powers herein granted, as fully to all intents and purposes
as the undersigned might or could do if personally present,
with full power of substitution or revocation, hereby
ratifying and confirming all that such attorney-in-fact, or
his substitute or substitutes, shall lawfully do or cause to be
done by virtue of this Power of Attorney and the rights and
powers herein granted. The undersigned acknowledges that
no such attorney-in-fact, in serving in such capacity at the
request of the undersigned, is hereby assuming, nor is the
Company hereby assuming, any of the undersigned's
responsibilities to comply with Section 16 of the Securities
Exchange Act of 1934.
This Power of Attorney shall remain in full force and effect
until the undersigned is no longer required to file Form 3, 4
and 5 reports with respect to the undersigned's holdings of
and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed
writing delivered to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this
Power of Attorney to be executed as of this 8th day of
December, 2005.
By: s/ Robert E. Salmon
Print Name: Robert E. Salmon