Statement of Changes in Beneficial Ownership (4)
16 September 2017 - 6:44AM
Edgar (US Regulatory)
FORM 4
[
X
]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
WALL ROBERT T
|
2. Issuer Name
and
Ticker or Trading Symbol
NetApp, Inc.
[
NTAP
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
495 EAST JAVA DRIVE
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/13/2017
|
(Street)
SUNNYVALE, CA 94089
(City)
(State)
(Zip)
|
4. 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
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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
|
9/13/2017
|
|
M
|
|
2856
|
A
|
$0.0
(1)
|
38904
|
D
|
|
Common Stock
|
9/13/2017
|
|
M
|
|
7132
|
A
|
$0.0
(1)
|
46036
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. 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
|
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 of Derivative Security: 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
(1)
|
9/13/2017
|
|
M
|
|
|
2856
|
(2)
|
(2)
|
Common Stock
|
2856
|
$0.0
|
7132
|
D
|
|
Restricted Stock Unit
|
$0.0
(1)
|
9/13/2017
|
|
M
|
|
|
7132
|
(3)
|
(3)
|
Common Stock
|
7132
|
$0.0
|
0
|
D
|
|
Explanation of Responses:
|
(1)
|
Restricted stock units convert into common stock on a one-for-one basis.
|
(2)
|
Includes 2,856 shares which due to an administrative error were incorrectly shown as received in September 2014. On September 13, 2013, Mr. Wall elected to defer the payout of such shares until within 30 days of the earlier of the date:(a) his service on the Board ceases for any reason or (b) on which a Change of Control occurs.
|
(3)
|
On September 15, 2016, the reporting person was granted 7,132 restricted stock units which vest on the day immediately preceding the date of the next Annual Stockholders Meeting of the Company following the Grant Date, subject to the Participant's continuous service on the Board through such date.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
WALL ROBERT T
495 EAST JAVA DRIVE
SUNNYVALE, CA 94089
|
X
|
|
|
|
Signatures
|
By: Roberta S Cohen Attorney-in-Fact For: Robert T. Wall
|
|
9/15/2017
|
**
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 control number.
|
NetApp (NASDAQ:NTAP)
Historical Stock Chart
From Apr 2024 to May 2024
NetApp (NASDAQ:NTAP)
Historical Stock Chart
From May 2023 to May 2024