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Nasdaq · USD

NTAP

NetApp, Inc.

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3101
SEC CIK
0001002047
Parsed reports
619

Last 12 months

Inside the activity.

0 purchase rows · 43 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202502
Dec 202502
Jan 202601
Feb 202602
Mar 202601
Apr 202601
May 202602
Jun 202607
Jul 202601
Aug 202605
Sep 2026012
Oct 202607

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 15, 2022 Filed May 16, 2022 20:54 UTC
BERRY MICHAEL JEVP Finance & Operations, CFO
Exercise / conversionRestricted Stock Unit · Derivative 5,750 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-029180 · doc4.xml · derivative · entry 3

BERRY MICHAEL J · CIK 0001269088 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,250

Underlying: Common Stock · 5,750 shares

Expires 2028-07-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: RSU Price: Restricted Stock Units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On July 1, 2021, the reporting person was granted 23,000 restricted stock units. Restricted stock unit awards shall vest as to twenty-five percent (25%) of the shares May 15, 2022 and 1/16th (6.25%) of the shares quarterly thereafter for the next three years, subject to continued service on each applicable vesting date.

Read SEC document
May 15, 2022 Filed May 16, 2022 20:54 UTC
BERRY MICHAEL JEVP Finance & Operations, CFO
Tax withholdingCommon shares 2,262 $71.21 $161,077.02
Disclosure

SEC source: 0001209191-22-029180 · doc4.xml · nonDerivative · entry 2

BERRY MICHAEL J · CIK 0001269088 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · The Berry Trust

Disclosed balance after: 85,837

Read SEC document
May 15, 2022 Filed May 16, 2022 20:54 UTC
BERRY MICHAEL JEVP Finance & Operations, CFO
Exercise / conversionCommon Shares 5,750 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-029180 · doc4.xml · nonDerivative · entry 1

BERRY MICHAEL J · CIK 0001269088 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,099

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 15, 2022 Filed Aug 17, 2022 21:50 UTC
O'Callahan Elizabeth MEVP, Chief Legal Officer
Exercise / conversionRestricted Stock Unit · Derivative 7,175 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-046424 · doc4.xml · derivative · entry 3

O'Callahan Elizabeth M · CIK 0001911064 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,732

Underlying: Common Stock · 7,175 shares

Expires 2028-07-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On July 1, 2021, the reporting person was granted 28,700 restricted stock units. Restricted stock unit awards shall vest as to twenty-five percent (25%) of the shares May 15, 2022 and 1/16th (6.25%) of the shares quarterly thereafter for the next three years, subject to continued service on each applicable vesting date.

Read SEC document
April 18, 2022 Filed Apr 19, 2022 20:45 UTC
Kurian GeorgeDirector · CEO
SaleCommon Stock 4,250 $75.50 $320,875.00
Disclosure

SEC source: 0001614094-22-000021 · edgardoc.xml · nonDerivative · entry 1

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,576

F1 · kind: The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 21, 2021.

Read SEC document
April 15, 2022 Filed Apr 19, 2022 20:45 UTC
BERRY MICHAEL JEVP Finance & Operations, CFO
Exercise / conversionRestricted Stock Unit · Derivative 29,220 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-22-000022 · edgardoc.xml · derivative · entry 3

BERRY MICHAEL J · CIK 0001269088 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,440

Underlying: Common Stock · 29,220 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: On April 15, 2020, the reporting person was granted 116,881 restricted stock units, vesting in four equal annual installments beginning on April 15, 2021 and subject to continued service on each applicable vesting date.

F1 · derivative.expiration_date: On April 15, 2020, the reporting person was granted 116,881 restricted stock units, vesting in four equal annual installments beginning on April 15, 2021 and subject to continued service on each applicable vesting date.

Read SEC document
April 15, 2022 Filed Apr 19, 2022 20:45 UTC
BERRY MICHAEL JEVP Finance & Operations, CFO
Tax withholdingCommon Stock 9,506 $75.50 $717,703.00
Disclosure

SEC source: 0001614094-22-000022 · edgardoc.xml · nonDerivative · entry 2

BERRY MICHAEL J · CIK 0001269088 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 82,349

Read SEC document
April 15, 2022 Filed Apr 19, 2022 20:45 UTC
BERRY MICHAEL JEVP Finance & Operations, CFO
Exercise / conversionCommon Stock 29,220 $0.00 $0.00
Disclosure

SEC source: 0001614094-22-000022 · edgardoc.xml · nonDerivative · entry 1

BERRY MICHAEL J · CIK 0001269088 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 91,855

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 21, 2022 Filed Mar 23, 2022 20:12 UTC
Kurian GeorgeDirector · CEO
SaleCommon Stock 4,250 $89.86 $381,905.00
Disclosure

SEC source: 0001614094-22-000018 · edgardoc.xml · nonDerivative · entry 1

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,826

F1 · kind: The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. Kurian on June 21, 2021. Due to an administrative error, the date of Mr. Kurian's 10b5-1 plan was incorrectly reported as June 1, 2021 on the Forms 4 filed on September 29, 2021, October 27, 2021, December 1, 2021, December 22, 2021, January 26, 2022 and February 24, 2022. The 10b5-1 plan was adopted on June 21, 2021.

Read SEC document
March 15, 2022 Filed Mar 17, 2022 22:46 UTC
CERNUDA CESARPresident
SaleCommon Stock 14,000 $80.79 $1,131,111.80
Disclosure

SEC source: 0001614094-22-000016 · edgardoc.xml · nonDerivative · entry 1

CERNUDA CESAR · CIK 0001817313 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,507

F1 · kind: The transaction reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 5, 2021.

F2 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $80.21 to $81.22. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

Read SEC document
March 01, 2022 Filed Mar 2, 2022 21:54 UTC
BERRY MICHAEL JEVP Finance & Operations, CFO
OtherCommon Stock 62,635 $0.00 $0.00
Disclosure

SEC source: 0001614094-22-000014 · edgardoc.xml · nonDerivative · entry 2

BERRY MICHAEL J · CIK 0001269088 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 62,635

F2 · kind: Represents the transfer of 62,290 shares from the reporting person to The Berry Family Trust, which is an exempt transaction pursuant to Rule 16a-13. The reporting person is a trustee and a beneficiary of The Berry Family Trust.

Read SEC document
March 01, 2022 Filed Mar 2, 2022 21:54 UTC
BERRY MICHAEL JEVP Finance & Operations, CFO
OtherCommon Stock 62,635 $0.00 $0.00
Disclosure

SEC source: 0001614094-22-000014 · edgardoc.xml · nonDerivative · entry 1

BERRY MICHAEL J · CIK 0001269088 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Total includes 345 shares purchased under the NetApp Employee Stock Purchase Plan on November 30, 2021.

Read SEC document
February 22, 2022 Filed Feb 24, 2022 22:33 UTC
Kurian GeorgeDirector · CEO
SaleCommon Stock 4,250 $90.39 $384,161.75
Disclosure

SEC source: 0001614094-22-000012 · edgardoc.xml · nonDerivative · entry 1

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,076

F1 · kind: The transaction reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 1, 2021.

F2 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $89.99 to $90.67. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

Read SEC document
February 15, 2022 Filed Feb 17, 2022 21:57 UTC
Parks RobertVP, Chief Accounting Officer
Exercise / conversionRestricted Stock Unit · Derivative 3,159 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-22-000010 · edgardoc.xml · derivative · entry 3

Parks Robert · CIK 0001707662 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,474

Underlying: Common Stock · 3,159 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On February 17, 2021, the reporting person was granted 12,633 restricted stock units, vesting in four equal annual installments beginning on February 15, 2021 and subject to continued service on each applicable vesting date.

F3 · derivative.expiration_date: On February 17, 2021, the reporting person was granted 12,633 restricted stock units, vesting in four equal annual installments beginning on February 15, 2021 and subject to continued service on each applicable vesting date.

Read SEC document
February 15, 2022 Filed Feb 17, 2022 21:57 UTC
Parks RobertVP, Chief Accounting Officer
Tax withholdingCommon Stock 981 $90.47 $88,751.07
Disclosure

SEC source: 0001614094-22-000010 · edgardoc.xml · nonDerivative · entry 2

Parks Robert · CIK 0001707662 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,503

Read SEC document
February 15, 2022 Filed Feb 17, 2022 21:57 UTC
Parks RobertVP, Chief Accounting Officer
Exercise / conversionCommon Stock 3,159 $0.00 $0.00
Disclosure

SEC source: 0001614094-22-000010 · edgardoc.xml · nonDerivative · entry 1

Parks Robert · CIK 0001707662 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,484

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 325 Shares purchased under the NetApp 1999 Employee Stock Purchase plan on November 30, 2021.

Read SEC document
February 15, 2022 Filed Feb 17, 2022 21:56 UTC
Anderson BradEVP, Hybrid Cloud Group
Exercise / conversionRestricted Stock Unit · Derivative 3,825 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-22-000009 · edgardoc.xml · derivative · entry 9

Anderson Brad · CIK 0001333193 · EVP, Hybrid Cloud Group

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,575

Underlying: Common Stock · 3,825 shares

Expires 2028-07-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: On July 1, 2021, the reporting person was granted 20,400 restricted stock units. Restricted stock unit awards shall vest as to twenty-five percent (25%) of the shares May 15, 2022 and 1/16th (6.25%) of the shares quarterly thereafter for the next three years, subject to continued service on each applicable vesting date. In connection with Mr. Anderson's retirement and under the terms of the grant agreement, represents vesting of the number of RSUs that would have vested on the next scheduled vesting date but pro-rated based on the number of completed months of service since the most recent vesting date.

Read SEC document
February 15, 2022 Filed Feb 17, 2022 21:56 UTC
Anderson BradEVP, Hybrid Cloud Group
Exercise / conversionRestricted Stock Unit · Derivative 4,333 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-22-000009 · edgardoc.xml · derivative · entry 8

Anderson Brad · CIK 0001333193 · EVP, Hybrid Cloud Group

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,167

Underlying: Common Stock · 4,333 shares

Expires 2027-07-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On July 1, 2020, the reporting person was granted 26,000 restricted stock units, vesting in four equal annual installments beginning on June 1, 2021 and subject to continued service on each applicable vesting date. In connection with Mr. Anderson's retirement and under the terms of the grant agreement, represents vesting of the number of RSUs that would have vested on the next scheduled vesting date but pro-rated based on the number of completed months of service since the most recent vesting date.

Read SEC document
February 15, 2022 Filed Feb 17, 2022 21:56 UTC
Anderson BradEVP, Hybrid Cloud Group
Exercise / conversionRestricted Stock Unit · Derivative 13,750 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-22-000009 · edgardoc.xml · derivative · entry 7

Anderson Brad · CIK 0001333193 · EVP, Hybrid Cloud Group

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,750 shares

Expires 2025-02-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On February 23, 2018, the reporting person was granted 55,000 restricted stock units, vesting in four equal annual installments beginning on February 15, 2019 and subject to continued service on each applicable vesting date.

Read SEC document
February 15, 2022 Filed Feb 17, 2022 21:56 UTC
Anderson BradEVP, Hybrid Cloud Group
Tax withholdingCommon Stock 1,679 $90.47 $151,899.13
Disclosure

SEC source: 0001614094-22-000009 · edgardoc.xml · nonDerivative · entry 6

Anderson Brad · CIK 0001333193 · EVP, Hybrid Cloud Group

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,620

Read SEC document
February 15, 2022 Filed Feb 17, 2022 21:56 UTC
Anderson BradEVP, Hybrid Cloud Group
Exercise / conversionCommon Stock 3,825 $0.00 $0.00
Disclosure

SEC source: 0001614094-22-000009 · edgardoc.xml · nonDerivative · entry 5

Anderson Brad · CIK 0001333193 · EVP, Hybrid Cloud Group

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,299

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 15, 2022 Filed Feb 17, 2022 21:56 UTC
Anderson BradEVP, Hybrid Cloud Group
Tax withholdingCommon Stock 1,902 $90.47 $172,073.94
Disclosure

SEC source: 0001614094-22-000009 · edgardoc.xml · nonDerivative · entry 4

Anderson Brad · CIK 0001333193 · EVP, Hybrid Cloud Group

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,474

Read SEC document
February 15, 2022 Filed Feb 17, 2022 21:56 UTC
Anderson BradEVP, Hybrid Cloud Group
Exercise / conversionCommon Stock 4,333 $0.00 $0.00
Disclosure

SEC source: 0001614094-22-000009 · edgardoc.xml · nonDerivative · entry 3

Anderson Brad · CIK 0001333193 · EVP, Hybrid Cloud Group

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,376

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 15, 2022 Filed Feb 17, 2022 21:56 UTC
Anderson BradEVP, Hybrid Cloud Group
Tax withholdingCommon Stock 4,421 $90.47 $399,967.87
Disclosure

SEC source: 0001614094-22-000009 · edgardoc.xml · nonDerivative · entry 2

Anderson Brad · CIK 0001333193 · EVP, Hybrid Cloud Group

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,043

Read SEC document
February 15, 2022 Filed Feb 17, 2022 21:56 UTC
Anderson BradEVP, Hybrid Cloud Group
Exercise / conversionCommon Stock 13,750 $0.00 $0.00
Disclosure

SEC source: 0001614094-22-000009 · edgardoc.xml · nonDerivative · entry 1

Anderson Brad · CIK 0001333193 · EVP, Hybrid Cloud Group

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,464

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 15, 2022 Filed Feb 17, 2022 21:55 UTC
Bhela Harvinder SEVP, Chief Product Officer
GrantRestricted Stock Unit · Derivative 39,157 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-22-000008 · edgardoc.xml · derivative · entry 1

Bhela Harvinder S · CIK 0001911090 · EVP, Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,157

Underlying: Common Stock · 39,157 shares

Expires 2029-02-15

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On February 15,2022, the reporting person was granted 39,157 restricted stock units, with 50% vesting on February 15, 2023, and the remaining 50% vesting on February 15, 2024, subject to continued service on each applicable vesting date.

Read SEC document
January 24, 2022 Filed Jan 26, 2022 21:23 UTC
Kurian GeorgeDirector · CEO
SaleCommon Stock 4,250 $83.72 $355,801.08
Disclosure

SEC source: 0001614094-22-000002 · edgardoc.xml · nonDerivative · entry 1

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,326

F1 · kind: The transaction reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 1, 2021.

F2 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $82.81 to $84.25. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

Read SEC document
December 20, 2021 Filed Dec 22, 2021 21:41 UTC
Kurian GeorgeDirector · CEO
SaleCommon Stock 4,250 $87.02 $369,834.15
Disclosure

SEC source: 0001614094-21-000093 · edgardoc.xml · nonDerivative · entry 1

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,576

F1 · kind: The transaction reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 1, 2021.

F2 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $86.66 to $87.47. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

Read SEC document
December 15, 2021 Filed Dec 17, 2021 21:45 UTC
CERNUDA CESARPresident
SaleCommon Stock 14,000 $87.13 $1,219,783.60
Disclosure

SEC source: 0001614094-21-000091 · edgardoc.xml · nonDerivative · entry 1

CERNUDA CESAR · CIK 0001817313 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,507

F1 · kind: The transaction reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 5, 2021.

F2 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $86.74 to $87.65. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

Read SEC document
December 07, 2021 Filed Dec 9, 2021 21:11 UTC
FAWCETT MATTHEW KEVP, GC & Secretary
SaleCommon Stock 2,062 $91.00 $187,642.00
Disclosure

SEC source: 0001614094-21-000089 · edgardoc.xml · nonDerivative · entry 1

FAWCETT MATTHEW K · CIK 0001447874 · EVP, GC & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,591

Read SEC document
December 02, 2021 Filed Dec 6, 2021 22:29 UTC SaleCommon Stock 7,500 $89.94 $674,571.00
Disclosure

SEC source: 0001614094-21-000087 · edgardoc.xml · nonDerivative · entry 1

NEVENS THOMAS MICHAEL · CIK 0001251445 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 16,584

F1 · kind: The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 7, 2021.

F2 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $88.08 to $90.91. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

Read SEC document
December 02, 2021 Filed Dec 6, 2021 22:28 UTC
FAWCETT MATTHEW KEVP, GC & Secretary
SaleCommon Stock 3,437 $90.05 $309,511.13
Disclosure

SEC source: 0001614094-21-000086 · edgardoc.xml · nonDerivative · entry 1

FAWCETT MATTHEW K · CIK 0001447874 · EVP, GC & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,653

F1 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $90.05 to $90.07. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

Read SEC document
November 29, 2021 Filed Dec 1, 2021 21:47 UTC
Kurian GeorgeDirector · CEO
SaleCommon Stock 4,250 $89.52 $380,472.75
Disclosure

SEC source: 0001614094-21-000083 · edgardoc.xml · nonDerivative · entry 1

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,826

F1 · kind: The transaction reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 1, 2021.

F2 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $88.73 to $90.14. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

Read SEC document
October 25, 2021 Filed Oct 27, 2021 21:36 UTC
Kurian GeorgeDirector · CEO
SaleCommon Stock 4,250 $93.22 $396,185.00
Disclosure

SEC source: 0001614094-21-000081 · edgardoc.xml · nonDerivative · entry 1

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,076

F1 · kind: The transaction reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 1, 2021.

Read SEC document
September 27, 2021 Filed Sep 29, 2021 20:34 UTC
Kurian GeorgeDirector · CEO
SaleCommon Stock 4,250 $93.48 $397,285.75
Disclosure

SEC source: 0001614094-21-000079 · edgardoc.xml · nonDerivative · entry 1

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,326

F1 · kind: The transaction reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 1, 2021.

F2 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $93.10 to $94.00. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

Read SEC document
September 21, 2021 Filed Sep 23, 2021 20:38 UTC
Palin CarrieDirector
SaleCommon Stock 1,867 $88.74 $165,668.25
Disclosure

SEC source: 0001614094-21-000077 · edgardoc.xml · nonDerivative · entry 1

Palin Carrie · CIK 0001754302 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Read SEC document
September 15, 2021 Filed Sep 17, 2021 20:21 UTC
CERNUDA CESARPresident
SaleCommon Stock 14,000 $91.83 $1,285,568.20
Disclosure

SEC source: 0001614094-21-000075 · edgardoc.xml · nonDerivative · entry 1

CERNUDA CESAR · CIK 0001817313 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,507

F1 · kind: The transaction reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 5, 2021.

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September 15, 2021 Filed Sep 17, 2021 20:21 UTC
Anderson BradEVP, SSSBU and CIBU
Exercise / conversionRestricted Stock Unit · Derivative 1,841 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-21-000074 · edgardoc.xml · derivative · entry 3

Anderson Brad · CIK 0001333193 · EVP, SSSBU and CIBU

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,680

Underlying: Common Stock · 1,841 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On September 16, 2019, the reporting person was granted 7,362 restricted stock units, vesting in four equal annual installments beginning on September 15, 2020 and subject to continued service on each applicable vesting date.

F2 · derivative.expiration_date: On September 16, 2019, the reporting person was granted 7,362 restricted stock units, vesting in four equal annual installments beginning on September 15, 2020 and subject to continued service on each applicable vesting date.

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September 15, 2021 Filed Sep 17, 2021 20:21 UTC
Anderson BradEVP, SSSBU and CIBU
Tax withholdingCommon Stock 808 $93.30 $75,386.40
Disclosure

SEC source: 0001614094-21-000074 · edgardoc.xml · nonDerivative · entry 2

Anderson Brad · CIK 0001333193 · EVP, SSSBU and CIBU

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,714

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September 15, 2021 Filed Sep 17, 2021 20:21 UTC
Anderson BradEVP, SSSBU and CIBU
Exercise / conversionCommon Stock 1,841 $0.00 $0.00
Disclosure

SEC source: 0001614094-21-000074 · edgardoc.xml · nonDerivative · entry 1

Anderson Brad · CIK 0001333193 · EVP, SSSBU and CIBU

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,522

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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September 10, 2021 Filed Sep 13, 2021 20:26 UTC GrantRestricted Stock Unit · Derivative 2,707 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-21-000071 · edgardoc.xml · derivative · entry 3

SHAHEEN GEORGE T · CIK 0001242465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,401

Underlying: Common Stock · 2,707 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On September 10, 2021, the reporting person was granted 2,707 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 subject to the Participant's continuous service on the Board through such date.

F3 · derivative.expiration_date: On September 10, 2021, the reporting person was granted 2,707 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 subject to the Participant's continuous service on the Board through such date.

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September 10, 2021 Filed Sep 13, 2021 20:25 UTC GrantRestricted Stock Unit · Derivative 2,707 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-21-000070 · edgardoc.xml · derivative · entry 3

Schenkel Scott F. · CIK 0001645504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,707

Underlying: Common Stock · 2,707 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On September 10, 2021, the reporting person was granted 2,707 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 subject to the Participant's continuous service on the Board through such date.

F3 · derivative.expiration_date: On September 10, 2021, the reporting person was granted 2,707 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 subject to the Participant's continuous service on the Board through such date.

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September 10, 2021 Filed Sep 13, 2021 20:25 UTC
Palin CarrieDirector
GrantRestricted Stock Unit · Derivative 2,707 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-21-000069 · edgardoc.xml · derivative · entry 3

Palin Carrie · CIK 0001754302 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,707

Underlying: Common Stock · 2,707 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On September 10, 2021, the reporting person was granted 2,707 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 subject to the Participant's continuous service on the Board through such date.

F3 · derivative.expiration_date: On September 10, 2021, the reporting person was granted 2,707 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 subject to the Participant's continuous service on the Board through such date.

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September 10, 2021 Filed Sep 13, 2021 20:25 UTC
KERR DEBORAHDirector
GrantRestricted Stock Unit · Derivative 2,707 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-21-000067 · edgardoc.xml · derivative · entry 3

KERR DEBORAH · CIK 0001258989 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,163

Underlying: Common Stock · 2,707 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On September 10, 2021, the reporting person was granted 2,707 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 subject to the Participant's continuous service on the Board through such date.

F3 · derivative.expiration_date: On September 10, 2021, the reporting person was granted 2,707 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 subject to the Participant's continuous service on the Board through such date.

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September 10, 2021 Filed Sep 13, 2021 20:25 UTC GrantRestricted Stock Unit · Derivative 3,520 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-21-000068 · edgardoc.xml · derivative · entry 3

NEVENS THOMAS MICHAEL · CIK 0001251445 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,520

Underlying: Common Stock · 3,520 shares

Expires not disclosed

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: On September 10, 2021, the reporting person was granted 3,520 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 subject to the Participant's continuous service on the Board through such date.

F4 · derivative.expiration_date: On September 10, 2021, the reporting person was granted 3,520 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 subject to the Participant's continuous service on the Board through such date.

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September 10, 2021 Filed Sep 13, 2021 20:24 UTC
Hill KathrynDirector
GrantRestricted Stock Unit · Derivative 2,707 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-21-000066 · edgardoc.xml · derivative · entry 3

Hill Kathryn · CIK 0001533931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,707

Underlying: Common Stock · 2,707 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On September 10, 2021, the reporting person was granted 2,707 restricted stock units. The shares will vest upon the reporting person's continuation in Board service through the day immediately preceding the next Annual Stockholders Meeting following the grant date. Vested shares will be delivered to the reporting person upon the earlier of: (i) date the reporting person ceases to serve as a Board member; (ii) date on which a Change of Control occurs.

F3 · derivative.expiration_date: On September 10, 2021, the reporting person was granted 2,707 restricted stock units. The shares will vest upon the reporting person's continuation in Board service through the day immediately preceding the next Annual Stockholders Meeting following the grant date. Vested shares will be delivered to the reporting person upon the earlier of: (i) date the reporting person ceases to serve as a Board member; (ii) date on which a Change of Control occurs.

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September 10, 2021 Filed Sep 13, 2021 20:24 UTC
HELD GERALDDirector
GrantRestricted Stock Unit · Derivative 2,707 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-21-000065 · edgardoc.xml · derivative · entry 3

HELD GERALD · CIK 0001212064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,883

Underlying: Common Stock · 2,707 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On September 10, 2021, the reporting person was granted 2,707 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 subject to the Participant's continuous service on the Board through such date.

F3 · derivative.expiration_date: On September 10, 2021, the reporting person was granted 2,707 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 subject to the Participant's continuous service on the Board through such date.

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September 10, 2021 Filed Sep 13, 2021 20:24 UTC
Ahuja DeepakDirector
GrantRestricted Stock Unit · Derivative 2,707 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-21-000064 · edgardoc.xml · derivative · entry 3

Ahuja Deepak · CIK 0001494732 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,707

Underlying: Common Stock · 2,707 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On September 10, 2021, the reporting person was granted 2,707 restricted stock units. The shares will vest upon the reporting person's continuation in Board service through the day immediately preceding the next Annual Stockholders Meeting following the grant date. Vested shares will be delivered to the reporting person upon the earlier of: (i) date the reporting person ceases to serve as a Board member; (ii) date on which a Change of Control occurs.

F3 · derivative.expiration_date: On September 10, 2021, the reporting person was granted 2,707 restricted stock units. The shares will vest upon the reporting person's continuation in Board service through the day immediately preceding the next Annual Stockholders Meeting following the grant date. Vested shares will be delivered to the reporting person upon the earlier of: (i) date the reporting person ceases to serve as a Board member; (ii) date on which a Change of Control occurs.

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September 09, 2021 Filed Sep 13, 2021 20:26 UTC Exercise / conversionRestricted Stock Unit · Derivative 5,634 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-21-000071 · edgardoc.xml · derivative · entry 2

SHAHEEN GEORGE T · CIK 0001242465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,694

Underlying: Common Stock · 5,634 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On September 10, 2020, the reporting person was granted 5,634 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 subject to the Participant's continuous service on the Board through such date.

F2 · derivative.expiration_date: On September 10, 2020, the reporting person was granted 5,634 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 subject to the Participant's continuous service on the Board through such date.

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September 09, 2021 Filed Sep 13, 2021 20:26 UTC Exercise / conversionCommon Stock 5,634 $0.00 $0.00
Disclosure

SEC source: 0001614094-21-000071 · edgardoc.xml · nonDerivative · entry 1

SHAHEEN GEORGE T · CIK 0001242465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,275

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.