Initial Statement of Beneficial Ownership (3)
January 14 2016 - 4:27PM
Edgar (US Regulatory)
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FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
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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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1. Name and Address of Reporting Person
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Bergmann Jeffrey K
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2. Date of Event Requiring Statement (MM/DD/YYYY)
1/4/2016
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3. Issuer Name
and
Ticker or Trading Symbol
NetApp, Inc. [NTAP]
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(Last)
(First)
(Middle)
495 EAST JAVA DRIVE
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Interim CFO /
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(Street)
SUNNYVALE, CA 94089
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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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
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10377
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D
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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 Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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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 of Derivative Security: 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
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Expiration Date
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Title
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Amount or Number of Shares
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Non-Qualified Stock Option (right to buy)
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7/1/2012
(1)
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5/31/2019
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Common Stock
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8000
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$29.44
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D
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Non-Qualified Stock Option (right to buy)
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7/3/2014
(2)
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6/2/2021
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Common Stock
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5470
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$36.59
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D
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Non-Qualified Stock Option (right to buy)
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7/1/2010
(3)
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5/31/2017
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Common Stock
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4688
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$37.62
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D
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Non-Qualified Stock Option (right to buy)
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7/3/2013
(4)
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6/2/2020
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Common Stock
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8100
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$37.64
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D
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Non-Qualified Stock Option (right to buy)
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7/1/2011
(5)
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5/31/2018
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Common Stock
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7400
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$53.22
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D
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Restricted Stock Unit
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2/15/2013
(6)
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2/15/2019
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Common Stock
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1250
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$0.0
(7)
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D
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Restricted Stock Unit
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6/1/2013
(8)
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6/1/2019
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Common Stock
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675
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$0.0
(7)
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D
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Restricted Stock Unit
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6/3/2014
(9)
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6/3/2020
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Common Stock
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1350
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$0.0
(7)
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D
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Restricted Stock Unit
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6/3/2015
(10)
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6/3/2021
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Common Stock
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3187
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$0.0
(7)
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D
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Restricted Stock Unit
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6/1/2016
(11)
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6/23/2022
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Common Stock
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6200
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$0.0
(7)
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D
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Explanation of Responses:
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(
1)
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On June 1, 2012, the reporting person was granted 8,000 nonqualified stock options, subject to the option vesting monthly in equal installments over four years beginning on July 1, 2012, subject to continued service on each applicable vesting date.
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(
2)
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On June 3, 2014, the reporting person was granted 5,470 nonqualified stock options, subject to the option vesting monthly in equal installments over four years beginning on July 3, 2014, subject to continued service on each applicable vesting date.
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(
3)
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On June 1, 2010, the reporting person was granted 5,000 nonqualified stock options, subject to the option vesting monthly in equal installments over four years beginning on June 1, 2010, subject to continued service on each applicable vesting date.
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(
4)
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On June 3, 2013, the reporting person was granted 8,100 nonqualified stock options, subject to the option vesting monthly in equal installments over four years beginning on July 3, 2013, subject to continued service on each applicable vesting date.
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(
5)
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On June 1, 2011, the reporting person was granted 7,400 nonqualified stock options, subject to the option vesting monthly in equal installments over four years beginning on July 1, 2011, subject to continued service on each applicable vesting date.
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(
6)
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On February 15, 2012, the reporting person was granted 5,000 restricted stock units, vesting in four equal annual installments beginning on February 15, 2013 and subject to continued service on each applicable vesting date.
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(
7)
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Restricted stock units convert into common stock on a one-for-one basis.
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(
8)
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On June 1, 2012, the reporting person was granted 2,700 restricted stock units, vesting in four equal annual installments beginning on June 1, 2013 and subject to continued service on each applicable vesting date.
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(
9)
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On June 3, 2013, the reporting person was granted 2,700 restricted stock units, vesting in four equal annual installments beginning on June 3, 2014 and subject to continued service on each applicable vesting date.
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(
10)
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On June 3, 2014, the reporting person was granted 4,250 restricted stock units, vesting in four equal annual installments beginning on June 3, 2015, and subject to continued service on each applicable vesting date.
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(
11)
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On June 23, 2015, the reporting person was granted 6,200 restricted stock units, vesting in two equal annual installments beginning on June 1, 2016, subject to continued service on each applicable vesting date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Bergmann Jeffrey K
495 EAST JAVA DRIVE
SUNNYVALE, CA 94089
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Interim CFO
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Signatures
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By: Roberta S Cohen Attorney-in-Fact For: Jeffrey K. Bergmann
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1/14/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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