(State or other jurisdiction

of incorporation)

(Commission

File Number)

(IRS. Employer

Identification No.)

1395 Crossman Avenue

Sunnyvale, CA 94089

(Address of principal executive offices)

Matthew K. Fawcett

Senior Vice President, General Counsel and Secretary

NetApp, Inc.

(408) 822-6000

(Name and telephone number, including area code, of the person to contact in connection with this report.)

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2019.

Exhibit
No.

Description

/s/ Matthew K. Fawcett

Establishing strong company management systems regarding conflict minerals;

Identifying and assessing risk in the supply chain;

Designing and implementing strategies to respond to identified risks;

Supporting industry associations that carry out independent third-party audits of smelter/refiner’s due diligence practices; and

Reporting annually on NetApp’s supply chain due diligence activities.

Identified an executive sponsor for NetApp’s supply chain transparency objectives to provide internal leadership and guidance to attain NetApp’s goal of determining the countries of origin of the Conflict Minerals that are necessary for the production or functionality of its products and eliminating sources of Conflict Minerals that benefit armed groups in the Covered Countries.

Adopted and posted a Conflict Minerals policy (discussed further below) on its website. NetApp requested all vendors and suppliers of materials that could potentially contain Conflict Minerals (the “in-scope suppliers”) to comply with the requirements of Section 1502, if applicable, and to support NetApp’s compliance program. NetApp continues to educate suppliers on its Conflict Minerals policy and encourage suppliers to have policies of their own.

Included Section 1502 requirement contractually in its Master Supply Agreements, requiring suppliers to provide necessary information.

Adopted processes, procedures and systems to capture, maintain, retrieve and report on supplier sourcing of Conflict Minerals to further improve transparency and the ability to report on NetApp’s sourcing of Conflict Minerals in accordance with Section 1502 in coming years.

Conducted a survey using the Responsible Minerals Initiative or “RMI” (previously known as Conflict Free Sourcing Initiative (“CFSI”) Conflict Minerals Reporting Template (the “CMRT”) version 5.12 or higher (the “RCOI Survey”) through a third-party service provider, Source Intelligence, of NetApp’s in-scope suppliers to gather information on the chain of custody of the necessary Conflict Minerals included in NetApp products.

Instituted Conflict Minerals risk assessment as part of the NetApp product development process.

Identified personnel within NetApp responsible for the NetApp sustainability program, including responsibility for day-to-day consideration and review of compliance requirements related to the Section 1502.

Used a third-party service provider, Source Intelligence, to assist with gathering and evaluating supply chain information with respect to Conflict Minerals, training and educating suppliers on Conflict Minerals and providing feedback to the in-scope suppliers on their conflict minerals program.

Established a dedicated email address that is published on www.NetApp.com and in other communications with suppliers whereby employees and suppliers can (i) communicate with NetApp on questions related to Conflict Minerals, (ii) request Conflict Mineral compliance information, and (iii) report Conflict Minerals grievances.

As part of its RCOI, NetApp performed an assessment of all parts represented within its product lines followed by a supplier risk assessment. Suppliers were first assessed by determining whether they supplied hardware, software or services. If the supplier was determined to supply hardware, NetApp assessed whether the materials supplied by the supplier could potentially contain Conflict Minerals to identify the in-scope suppliers. Finally, the in-scope suppliers were surveyed to determine whether they sourced Conflict Minerals from the Covered Countries.

Provided letters to the in-scope suppliers explaining NetApp’s country of origin inquiry and due diligence efforts and requesting supplier cooperation. Suppliers were offered training materials on the requirements of Section 1502, NetApp’s plan to achieve compliance with such requirements and NetApp’s goal of achieving responsible sourcing from its suppliers.

Partnered with Source Intelligence to conduct a RCOI Survey of NetApp’s in-scope suppliers to gather information on countries of origin and identify smelters or refiners. The RCOI Survey used the CMRT. The in-scope suppliers were asked to identify the smelters and refiners who contributed to the Conflict Minerals materials contained in parts and components that they supplied to NetApp.

The in-scope suppliers that responded to NetApp’s RCOI Survey account for 99.6% of in-scope component spend for calendar year 2019. Maintaining this percentage rate is attributable to NetApp’s and Source Intelligence’s efforts on following up with non-responsive suppliers.

Compared smelters and refiners identified against the list of those on RMI’s lists for tantalum, tin, tungsten and gold including those that have received a “conflict free” designation by participating in an independent third-party audit. Based on the RCOI, NetApp had reason to believe that some of the Conflict Minerals may have originated from the Covered Countries, therefore, in accordance with Section 1502, performed due diligence on the source and chain of custody of the conflict minerals in question.

Performed enhanced data analytics to ensure identification of all in-scope suppliers throughout NetApp’s entire supply chain.

Analyzed CMRT responses and provided feedback to suppliers on the strength of their conflict minerals program.

NetApp has established a supplier Conflict Minerals policy, which outlines NetApp’s requirements for its suppliers:

Sourcing minerals from socially responsible suppliers;

Requesting suppliers downstream to source minerals from socially responsible suppliers;

Providing NetApp with prompt, truthful, and accurate information regarding each supply source and the nature of the sourcing materials as it relates to the requirements of Section 1502; and

Cooperating with regular business reviews, surveys, and audits undertaken by or for NetApp so that it can comply with the requirements of Section 1502.

Through calendar year 2019, NetApp continued to flow down its Conflict Minerals policy to its in-scope supply base. This has aided in defining sourcing requirements for products supplied to NetApp.

NetApp’s supplier qualification and assessment program includes audits of supplier representations of their status to validate their previous and current reporting.

NetApp (or Source Intelligence on NetApp’s behalf), responded to the risks identified in Step 2 by providing feedback and education material to suppliers. This included contacting non-responsive suppliers, following up with invalid submissions, providing feedback and recommended next steps for identified smelter risk, and encouraging suppliers to improve their internal compliance practices.

In 2019, NetApp attended a Conflict Minerals forum and collaborated with industry peers to define and improve best practices, and encourage responsible sourcing

In calendar year 2020, NetApp plans to:

Continue to work with its top materials-spend suppliers to improve transparency and reporting. Concurrently, through its supplier performance management process, NetApp continues to assess risk for its supply base that are not improving their level of transparency required by Section 1502 to promote its intended purpose. NetApp will work with suppliers with underdeveloped processes, providing information and guidance to increase transparency.

Compare RCOI Survey responses to information collected via independent conflict free smelter validation programs, such as RMI’s Responsible Minerals Assurance Process, to identify unknown or unrecognized smelters or refiners.

Contact in-scope suppliers with unknown or unrecognized smelters or refiners and request their participation in improving data accuracy and promoting RMI’s efforts.

Participate in Conflict Minerals forums and collaborate with industry peers to define best practices and encourage responsible sourcing. NetApp will continue to support RMI in its efforts to increase the number of smelters and refiners identified as “conflict free.”

Continue outreach efforts with suppliers who listed OFAC sanctioned smelters in their CMRT to have these smelters removed from their CMRT.

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RMI Audit Status

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RMI Audit Status

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Smelter Facility Location

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Standard Smelter Name

Smelter Facility Location

Smelter ID

RMI Audit Status