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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

Latest available

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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
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
RICHARD HENRI PEVP, Go To Market
Exercise / conversionRestricted Stock Unit · Derivative 9,500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000030 · edgardoc.xml · derivative · entry 13

RICHARD HENRI P · CIK 0001192011 · EVP, Go To Market

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,500

Underlying: Common Stock · 9,500 shares

Expires 2024-06-01

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.

F4 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F6 · derivative.exercise_date: 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.

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
RICHARD HENRI PEVP, Go To Market
Exercise / conversionRestricted Stock Unit · Derivative 15,157 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000030 · edgardoc.xml · derivative · entry 12

RICHARD HENRI P · CIK 0001192011 · EVP, Go To Market

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,157 shares

Expires 2023-06-01

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.

F4 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F5 · derivative.exercise_date: 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.

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
RICHARD HENRI PEVP, Go To Market
Tax withholdingCommon Stock 2,664 $42.67 $113,672.88
Disclosure

SEC source: 0001614094-20-000030 · edgardoc.xml · nonDerivative · entry 11

RICHARD HENRI P · CIK 0001192011 · EVP, Go To Market

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,272

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
RICHARD HENRI PEVP, Go To Market
Exercise / conversionCommon Stock 5,375 $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000030 · edgardoc.xml · nonDerivative · entry 10

RICHARD HENRI P · CIK 0001192011 · EVP, Go To Market

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,936

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
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
RICHARD HENRI PEVP, Go To Market
Tax withholdingCommon Stock 3,036 $42.67 $129,546.12
Disclosure

SEC source: 0001614094-20-000030 · edgardoc.xml · nonDerivative · entry 9

RICHARD HENRI P · CIK 0001192011 · EVP, Go To Market

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,561

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
RICHARD HENRI PEVP, Go To Market
Exercise / conversionCommon Stock 6,125 $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000030 · edgardoc.xml · nonDerivative · entry 8

RICHARD HENRI P · CIK 0001192011 · EVP, Go To Market

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,597

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
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
RICHARD HENRI PEVP, Go To Market
Tax withholdingCommon Stock 3,468 $42.67 $147,979.56
Disclosure

SEC source: 0001614094-20-000030 · edgardoc.xml · nonDerivative · entry 7

RICHARD HENRI P · CIK 0001192011 · EVP, Go To Market

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,472

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
RICHARD HENRI PEVP, Go To Market
Exercise / conversionCommon Stock 9,500 $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000030 · edgardoc.xml · nonDerivative · entry 6

RICHARD HENRI P · CIK 0001192011 · EVP, Go To Market

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,940

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
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
RICHARD HENRI PEVP, Go To Market
Tax withholdingCommon Stock 5,241 $42.67 $223,633.47
Disclosure

SEC source: 0001614094-20-000030 · edgardoc.xml · nonDerivative · entry 5

RICHARD HENRI P · CIK 0001192011 · EVP, Go To Market

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,440

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
RICHARD HENRI PEVP, Go To Market
Exercise / conversionCommon Stock 15,157 $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000030 · edgardoc.xml · nonDerivative · entry 4

RICHARD HENRI P · CIK 0001192011 · EVP, Go To Market

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,681

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
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
RICHARD HENRI PEVP, Go To Market
Tax withholdingCommon Stock 16,956 $42.67 $723,512.52
Disclosure

SEC source: 0001614094-20-000030 · edgardoc.xml · nonDerivative · entry 3

RICHARD HENRI P · CIK 0001192011 · EVP, Go To Market

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,524

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
RICHARD HENRI PEVP, Go To Market
GrantCommon Stock 34,200 $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000030 · edgardoc.xml · nonDerivative · entry 2

RICHARD HENRI P · CIK 0001192011 · EVP, Go To Market

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,480

F2 · shares: Represents the settlement of performance share unites originally granted on June 1, 2017.

F3 · price: Performance stock units convert into stock on a one-for-one basis.

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
PASEK RONALD JEVP Finance & Operations, CFO
Exercise / conversionRestricted Stock Unit · Derivative 5,375 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000029 · edgardoc.xml · derivative · entry 15

PASEK RONALD J · CIK 0001479217 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,125

Underlying: Common Stock · 5,375 shares

Expires 2026-06-03

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.

F4 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F8 · derivative.exercise_date: On June 3, 2019, the reporting person was granted 21,500 restricted stock units, vesting in four equal annual installments beginning on June 1, 2020 and subject to continued service on each applicable vesting date.

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
PASEK RONALD JEVP Finance & Operations, CFO
Exercise / conversionRestricted Stock Unit · Derivative 5,625 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000029 · edgardoc.xml · derivative · entry 14

PASEK RONALD J · CIK 0001479217 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,250

Underlying: Common Stock · 5,625 shares

Expires 2025-06-04

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.

F4 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F7 · derivative.exercise_date: On June 4, 2018, the reporting person was granted 22,500 restricted stock units, vesting in four equal annual installments beginning on June 1, 2019 and subject to continued service on each applicable vesting date.

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
PASEK RONALD JEVP Finance & Operations, CFO
Exercise / conversionRestricted Stock Unit · Derivative 9,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000029 · edgardoc.xml · derivative · entry 13

PASEK RONALD J · CIK 0001479217 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2024-06-01

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.

F4 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F6 · derivative.exercise_date: On June 1, 2017, the reporting person was granted 36,000 restricted stock units, vesting in four equal annual installments beginning on June 1, 2018 and subject to continued service on each applicable vesting date.

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
PASEK RONALD JEVP Finance & Operations, CFO
Exercise / conversionRestricted Stock Unit · Derivative 8,077 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000029 · edgardoc.xml · derivative · entry 12

PASEK RONALD J · CIK 0001479217 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,077 shares

Expires 2023-06-01

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.

F4 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F5 · derivative.exercise_date: On June 1, 2016, the reporting person was granted 32,309 restricted stock units, vesting in four equal annual installments beginning on June 1, 2017 and subject to continued service on each applicable vesting date.

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
PASEK RONALD JEVP Finance & Operations, CFO
Tax withholdingCommon Stock 2,664 $42.67 $113,672.88
Disclosure

SEC source: 0001614094-20-000029 · edgardoc.xml · nonDerivative · entry 11

PASEK RONALD J · CIK 0001479217 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,128

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
PASEK RONALD JEVP Finance & Operations, CFO
Exercise / conversionCommon Stock 5,375 $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000029 · edgardoc.xml · nonDerivative · entry 10

PASEK RONALD J · CIK 0001479217 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,792

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
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
PASEK RONALD JEVP Finance & Operations, CFO
Tax withholdingCommon Stock 2,788 $42.67 $118,963.96
Disclosure

SEC source: 0001614094-20-000029 · edgardoc.xml · nonDerivative · entry 9

PASEK RONALD J · CIK 0001479217 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,417

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
PASEK RONALD JEVP Finance & Operations, CFO
Exercise / conversionCommon Stock 5,625 $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000029 · edgardoc.xml · nonDerivative · entry 8

PASEK RONALD J · CIK 0001479217 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,205

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
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
PASEK RONALD JEVP Finance & Operations, CFO
Tax withholdingCommon Stock 4,462 $42.67 $190,393.54
Disclosure

SEC source: 0001614094-20-000029 · edgardoc.xml · nonDerivative · entry 7

PASEK RONALD J · CIK 0001479217 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,580

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
PASEK RONALD JEVP Finance & Operations, CFO
Exercise / conversionCommon Stock 9,000 $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000029 · edgardoc.xml · nonDerivative · entry 6

PASEK RONALD J · CIK 0001479217 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,042

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
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
PASEK RONALD JEVP Finance & Operations, CFO
Tax withholdingCommon Stock 2,877 $42.67 $122,761.59
Disclosure

SEC source: 0001614094-20-000029 · edgardoc.xml · nonDerivative · entry 5

PASEK RONALD J · CIK 0001479217 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,042

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
PASEK RONALD JEVP Finance & Operations, CFO
Exercise / conversionCommon Stock 8,077 $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000029 · edgardoc.xml · nonDerivative · entry 4

PASEK RONALD J · CIK 0001479217 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,919

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
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
PASEK RONALD JEVP Finance & Operations, CFO
Tax withholdingCommon Stock 16,361 $42.67 $698,123.87
Disclosure

SEC source: 0001614094-20-000029 · edgardoc.xml · nonDerivative · entry 3

PASEK RONALD J · CIK 0001479217 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,842

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
PASEK RONALD JEVP Finance & Operations, CFO
GrantCommon Stock 33,000 $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000029 · edgardoc.xml · nonDerivative · entry 2

PASEK RONALD J · CIK 0001479217 · EVP Finance & Operations, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,203

F2 · shares: Represents the settlement of performance share unites originally granted on June 1, 2017.

F3 · price: Performance stock units convert into stock on a one-for-one basis.

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
Kurian GeorgeDirector · CEO
Exercise / conversionRestricted Stock Unit · Derivative 9,250 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000028 · edgardoc.xml · derivative · entry 14

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,750

Underlying: Common Stock · 9,250 shares

Expires 2026-06-03

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.

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F7 · derivative.exercise_date: On June 3, 2019, the reporting person was granted 37,000 restricted stock units, vesting in four equal annual installments beginning on June 1, 2020 and subject to continued service on each applicable vesting date.

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
Kurian GeorgeDirector · CEO
Exercise / conversionRestricted Stock Unit · Derivative 8,500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000028 · edgardoc.xml · derivative · entry 13

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 8,500 shares

Expires 2025-06-04

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.

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F6 · derivative.exercise_date: On June 4, 2018, the reporting person was granted 34,000 restricted stock units, vesting in four equal annual installments beginning on June 1, 2019 and subject to continued service on each applicable vesting date.

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
Kurian GeorgeDirector · CEO
Exercise / conversionRestricted Stock Unit · Derivative 14,250 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000028 · edgardoc.xml · derivative · entry 12

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,250

Underlying: Common Stock · 14,250 shares

Expires 2024-06-01

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.

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F5 · derivative.exercise_date: On June 1, 2017, the reporting person was granted 57,000 restricted stock units, vesting in four equal annual installments beginning on June 1, 2018 and subject to continued service on each applicable vesting date.

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
Kurian GeorgeDirector · CEO
Exercise / conversionRestricted Stock Unit · Derivative 14,575 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000028 · edgardoc.xml · derivative · entry 11

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,575 shares

Expires 2023-06-01

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.

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: On June 1, 2016, the reporting person was granted 58,300 restricted stock units, vesting in four equal annual installments beginning on June 1, 2017 and subject to continued service on each applicable vesting date.

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
Kurian GeorgeDirector · CEO
Tax withholdingCommon Stock 4,586 $42.67 $195,684.62
Disclosure

SEC source: 0001614094-20-000028 · edgardoc.xml · nonDerivative · entry 10

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,501

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
Kurian GeorgeDirector · CEO
Exercise / conversionCommon Stock 9,250 $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000028 · edgardoc.xml · nonDerivative · entry 9

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,087

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
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
Kurian GeorgeDirector · CEO
Tax withholdingCommon Stock 4,214 $42.67 $179,811.38
Disclosure

SEC source: 0001614094-20-000028 · edgardoc.xml · nonDerivative · entry 8

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,837

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
Kurian GeorgeDirector · CEO
Exercise / conversionCommon Stock 8,500 $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000028 · edgardoc.xml · nonDerivative · entry 7

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,051

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
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
Kurian GeorgeDirector · CEO
Tax withholdingCommon Stock 5,736 $42.67 $244,755.12
Disclosure

SEC source: 0001614094-20-000028 · edgardoc.xml · nonDerivative · entry 6

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,551

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
Kurian GeorgeDirector · CEO
Exercise / conversionCommon Stock 14,250 $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000028 · edgardoc.xml · nonDerivative · entry 5

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 282,287

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
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
Kurian GeorgeDirector · CEO
Tax withholdingCommon Stock 5,040 $42.67 $215,056.80
Disclosure

SEC source: 0001614094-20-000028 · edgardoc.xml · nonDerivative · entry 4

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 268,037

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
Kurian GeorgeDirector · CEO
Exercise / conversionCommon Stock 14,575 $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000028 · edgardoc.xml · nonDerivative · entry 3

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 273,077

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
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
Kurian GeorgeDirector · CEO
Tax withholdingCommon Stock 50,839 $42.67 $2,169,300.13
Disclosure

SEC source: 0001614094-20-000028 · edgardoc.xml · nonDerivative · entry 2

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,502

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:44 UTC
Kurian GeorgeDirector · CEO
GrantCommon Stock 102,540 $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000028 · edgardoc.xml · nonDerivative · entry 1

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 309,341

F1 · shares: Represents the settlement of performance share unites originally granted on June 1, 2017.

F2 · price: Performance stock units convert into stock on a one-for-one basis.

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:43 UTC
FAWCETT MATTHEW KSVP, GC & Secretary
Exercise / conversionRestricted Stock Unit · Derivative 2,875 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000027 · edgardoc.xml · derivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,625

Underlying: Common Stock · 2,875 shares

Expires 2026-06-03

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.

F6 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F10 · derivative.exercise_date: On June 3, 2019, the reporting person was granted 11,500 restricted stock units, vesting in four equal annual installments beginning on June 1, 2020 and subject to continued service on each applicable vesting date.

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:43 UTC
FAWCETT MATTHEW KSVP, GC & Secretary
Exercise / conversionRestricted Stock Unit · Derivative 3,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000027 · edgardoc.xml · derivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 3,000 shares

Expires 2025-06-01

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.

F6 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F9 · derivative.exercise_date: On June 4, 2018, the reporting person was granted 12,000 restricted stock units, vesting in four equal annual installments beginning on June 1, 2019 and subject to continued service on each applicable vesting date.

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June 01, 2020 Filed Jun 3, 2020 20:43 UTC
FAWCETT MATTHEW KSVP, GC & Secretary
Exercise / conversionRestricted Stock Unit · Derivative 5,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000027 · edgardoc.xml · derivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2024-06-01

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.

F6 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F8 · derivative.exercise_date: On June 1, 2017, the reporting person was granted 20,000 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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June 01, 2020 Filed Jun 3, 2020 20:43 UTC
FAWCETT MATTHEW KSVP, GC & Secretary
Exercise / conversionRestricted Stock Unit · Derivative 6,500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000027 · edgardoc.xml · derivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,500 shares

Expires 2023-06-01

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.

F6 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F7 · derivative.exercise_date: On June 1, 2016, the reporting person was granted 26,000 restricted stock units, vesting in four equal annual installments beginning on June 1, 2017 and subject to continued service on each applicable vesting date.

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June 01, 2020 Filed Jun 3, 2020 20:43 UTC
FAWCETT MATTHEW KSVP, GC & Secretary
Tax withholdingCommon Stock 994 $42.67 $42,413.98
Disclosure

SEC source: 0001614094-20-000027 · edgardoc.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,305

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:43 UTC
FAWCETT MATTHEW KSVP, GC & Secretary
Exercise / conversionCommon Stock 2,875 $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000027 · edgardoc.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,299

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
June 01, 2020 Filed Jun 3, 2020 20:43 UTC
FAWCETT MATTHEW KSVP, GC & Secretary
Tax withholdingCommon Stock 1,037 $42.67 $44,248.79
Disclosure

SEC source: 0001614094-20-000027 · edgardoc.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,424

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:43 UTC
FAWCETT MATTHEW KSVP, GC & Secretary
Exercise / conversionCommon Stock 3,000 $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000027 · edgardoc.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,461

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
June 01, 2020 Filed Jun 3, 2020 20:43 UTC
FAWCETT MATTHEW KSVP, GC & Secretary
Tax withholdingCommon Stock 1,729 $42.67 $73,776.43
Disclosure

SEC source: 0001614094-20-000027 · edgardoc.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,461

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:43 UTC
FAWCETT MATTHEW KSVP, GC & Secretary
Exercise / conversionCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001614094-20-000027 · edgardoc.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,190

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.