Sec Form 4 Filing - RICHARD HENRI P @ NetApp, Inc. - 2017-05-31

Insider filing report for Changes in Beneficial Ownership
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FORM 4
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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
RICHARD HENRI P
2. Issuer Name and Ticker or Trading Symbol
NetApp, Inc. [ NTAP]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
EVP, WW Field& Customer OPS
(Last) (First) (Middle)
495 EAST JAVA DRIVE
3. Date of Earliest Transaction (MM/DD/YY)
05/31/2017
(Street)
SUNNYVALE, CA94089
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 05/31/2017 J( 1 ) 997 A $ 21.3095 1,994 ( 2 ) D
Common Stock 06/01/2017 M 15,158 A $ 0 17,152 D
Common Stock 06/01/2017 F 5,696 D $ 39.61 11,456 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 ( 3 ) 06/01/2017 M 15,158 06/01/2017( 4 ) 06/01/2023 Common Stock 15,158 $ 0 45,472 D
Restricted Stock Unit $ 0 ( 3 ) 06/01/2017 A 38,000 06/01/2018( 5 ) 06/01/2024 Common Stock 38,000 $ 0 38,000 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
RICHARD HENRI P
495 EAST JAVA DRIVE
SUNNYVALE, CA94089
EVP, WW Field& Customer OPS
Signatures
By: Roberta S. Cohen Attorney-in-Fact For: Henri Richard 06/05/2017
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Shares acquired under the NetApp's 1999 Employee Stock Purchase Plan on May 31, 2017.
( 2 )Includes 997 shares of the Issuer's common stock acquired on November 30, 2016 under the NetApp, Inc. Employee Stock Purchase Plan.
( 3 )Restricted stock units convert into common stock on a one-for-one basis.
( 4 )On June 1, 2016, the reporting person was granted 60,630 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 38,000 restricted stock units, vesting in four equal annual installments beginning on June 1, 2018 and subject to continued service on each applicable vesting date.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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