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NetApp, Inc.

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3101
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0001002047
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619

Last 12 months

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0 purchase rows · 43 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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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
October 01, 2018 Filed Oct 3, 2018 21:08 UTC
Kurian GeorgeDirector · CEO
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative 6,000 $86.10 Strike: $40.70 $516,592.20
Disclosure

SEC source: 0001614094-18-000120 · edgardoc.xml · derivative · entry 3

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires 2020-10-14

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_date: On October 15, 2013, the reporting person was granted 36,000 stock options of which 25% vested on September 20,2014. The balance of the shares vested monthly in equal installments over the next 36 months following September 20,2014, subject to continued service on each applicable vesting date.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 21:08 UTC
Kurian GeorgeDirector · CEO
SaleCommon Stock 6,000 $86.10 $516,592.20
Disclosure

SEC source: 0001614094-18-000120 · edgardoc.xml · nonDerivative · entry 2

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,479

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 December 1, 2017.

F2 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $86.06 to $86.20. 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 01, 2018 Filed Oct 3, 2018 21:08 UTC
Kurian GeorgeDirector · CEO
Exercise / conversionCommon Stock 6,000 $40.70 $244,200.00
Disclosure

SEC source: 0001614094-18-000120 · edgardoc.xml · nonDerivative · entry 1

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,479

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
September 20, 2018 Filed Sep 24, 2018 20:19 UTC
Kurian GeorgeDirector · CEO
SaleCommon Stock 38,441 $84.90 $3,263,525.58
Disclosure

SEC source: 0001614094-18-000113 · edgardoc.xml · nonDerivative · entry 2

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,509

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 December 1, 2017.

F3 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $84.51 to $85.28. 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 20, 2018 Filed Sep 24, 2018 20:19 UTC
Kurian GeorgeDirector · CEO
SaleCommon Stock 8,197 $84.10 $689,398.03
Disclosure

SEC source: 0001614094-18-000113 · edgardoc.xml · nonDerivative · entry 1

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,950

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 December 1, 2017.

F2 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $83.73 to $84.45. 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 17, 2018 Filed Sep 19, 2018 20:46 UTC
RICHARD HENRI PEVP, Go To Market
SaleCommon Stock 300 $85.25 $25,575.99
Disclosure

SEC source: 0001614094-18-000111 · edgardoc.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,807

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 December 20, 2017.

F4 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $85.04 to $85.68. 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 17, 2018 Filed Sep 19, 2018 20:46 UTC
RICHARD HENRI PEVP, Go To Market
SaleCommon Stock 1,283 $84.17 $107,986.77
Disclosure

SEC source: 0001614094-18-000111 · edgardoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,107

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 December 20, 2017.

F3 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $84.00 to $84.55. 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 17, 2018 Filed Sep 19, 2018 20:46 UTC
RICHARD HENRI PEVP, Go To Market
SaleCommon Stock 942 $83.69 $78,836.36
Disclosure

SEC source: 0001614094-18-000111 · edgardoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,390

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 December 20, 2017.

F2 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $83.35 to $83.99. 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 13, 2018 Filed Sep 14, 2018 20:29 UTC GrantRestricted Stock Unit · Derivative 2,924 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-18-000109 · edgardoc.xml · derivative · entry 1

WALLACE RICHARD P · CIK 0001196898 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,078

Underlying: Common Stock · 2,924 shares

Expires not disclosed

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

F2 · derivative.exercise_date: On September 13, 2018, the reporting person was granted 2,924 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 13, 2018, the reporting person was granted 2,924 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.

Read SEC document
September 13, 2018 Filed Sep 14, 2018 20:28 UTC GrantRestricted Stock Unit · Derivative 2,924 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-18-000108 · edgardoc.xml · derivative · entry 3

SHAHEEN GEORGE T · CIK 0001242465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,750

Underlying: Common Stock · 2,924 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 13, 2018, the reporting person was granted 2,924 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 13, 2018, the reporting person was granted 2,924 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.

Read SEC document
September 13, 2018 Filed Sep 14, 2018 20:28 UTC GrantRestricted Stock Unit · Derivative 2,924 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-18-000107 · edgardoc.xml · derivative · entry 3

Schenkel Scott F. · CIK 0001645504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,924

Underlying: Common Stock · 2,924 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 13, 2018, the reporting person was granted 2,924 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 13, 2018, the reporting person was granted 2,924 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.

Read SEC document
September 13, 2018 Filed Sep 14, 2018 20:28 UTC GrantRestricted Stock Unit · Derivative 2,924 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-18-000106 · edgardoc.xml · derivative · entry 3

NEVENS THOMAS MICHAEL · CIK 0001251445 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,924

Underlying: Common Stock · 2,924 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 13, 2018, the reporting person was granted 2,924 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 13, 2018, the reporting person was granted 2,924 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.

Read SEC document
September 13, 2018 Filed Sep 14, 2018 20:28 UTC
KERR DEBORAHDirector
GrantRestricted Stock Unit · Derivative 2,924 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-18-000105 · edgardoc.xml · derivative · entry 1

KERR DEBORAH · CIK 0001258989 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,380

Underlying: Common Stock · 2,924 shares

Expires not disclosed

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

F2 · derivative.exercise_date: On September 13, 2018, the reporting person was granted 2,924 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 13, 2018, the reporting person was granted 2,924 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.

Read SEC document
September 13, 2018 Filed Sep 14, 2018 20:28 UTC
Hill KathrynDirector
GrantRestricted Stock Unit · Derivative 2,924 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-18-000104 · edgardoc.xml · derivative · entry 3

Hill Kathryn · CIK 0001533931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,924

Underlying: Common Stock · 2,924 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 13, 2018, the reporting person was granted 2,924 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 13, 2018, the reporting person was granted 2,924 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.

Read SEC document
September 13, 2018 Filed Sep 14, 2018 20:27 UTC
HELD GERALDDirector
GrantRestricted Stock Unit · Derivative 2,924 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-18-000103 · edgardoc.xml · derivative · entry 1

HELD GERALD · CIK 0001212064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,100

Underlying: Common Stock · 2,924 shares

Expires not disclosed

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

F2 · derivative.exercise_date: On September 13, 2018, the reporting person was granted 2,924 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 13, 2018, the reporting person was granted 2,924 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.

Read SEC document
September 12, 2018 Filed Sep 14, 2018 20:28 UTC Exercise / conversionRestricted Stock Unit · Derivative 6,150 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-18-000108 · edgardoc.xml · derivative · entry 2

SHAHEEN GEORGE T · CIK 0001242465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,826

Underlying: Common Stock · 6,150 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 14, 2017, the reporting person was granted 6,150 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 14, 2017, the reporting person was granted 6,150 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.

Read SEC document
September 12, 2018 Filed Sep 14, 2018 20:28 UTC Exercise / conversionCommon Stock 6,150 $0.00 $0.00
Disclosure

SEC source: 0001614094-18-000108 · edgardoc.xml · nonDerivative · entry 1

SHAHEEN GEORGE T · CIK 0001242465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,150

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
September 12, 2018 Filed Sep 14, 2018 20:28 UTC Exercise / conversionRestricted Stock Unit · Derivative 5,456 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-18-000107 · edgardoc.xml · derivative · entry 2

Schenkel Scott F. · CIK 0001645504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,456 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 November 15, 2017, the reporting person was granted 5,456 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 November 15, 2017, the reporting person was granted 5,456 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.

Read SEC document
September 12, 2018 Filed Sep 14, 2018 20:28 UTC Exercise / conversionCommon Stock 5,456 $0.00 $0.00
Disclosure

SEC source: 0001614094-18-000107 · edgardoc.xml · nonDerivative · entry 1

Schenkel Scott F. · CIK 0001645504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,456

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
September 12, 2018 Filed Sep 14, 2018 20:28 UTC Exercise / conversionRestricted Stock Unit · Derivative 6,150 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-18-000106 · edgardoc.xml · derivative · entry 2

NEVENS THOMAS MICHAEL · CIK 0001251445 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,150 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 September 14, 2017, the reporting person was granted 6,150 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 14, 2017, the reporting person was granted 6,150 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.

Read SEC document
September 12, 2018 Filed Sep 14, 2018 20:28 UTC Exercise / conversionCommon Stock 6,150 $0.00 $0.00
Disclosure

SEC source: 0001614094-18-000106 · edgardoc.xml · nonDerivative · entry 1

NEVENS THOMAS MICHAEL · CIK 0001251445 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 27,120

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: Shares held by the Nevens Family 1997 Trust.

Read SEC document
September 12, 2018 Filed Sep 14, 2018 20:28 UTC
Hill KathrynDirector
Exercise / conversionRestricted Stock Unit · Derivative 6,150 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-18-000104 · edgardoc.xml · derivative · entry 2

Hill Kathryn · CIK 0001533931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,150 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 September 14, 2017, the reporting person was granted 6,150 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 14, 2017, the reporting person was granted 6,150 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.

Read SEC document
September 12, 2018 Filed Sep 14, 2018 20:28 UTC
Hill KathrynDirector
Exercise / conversionCommon Stock 6,150 $0.00 $0.00
Disclosure

SEC source: 0001614094-18-000104 · edgardoc.xml · nonDerivative · entry 1

Hill Kathryn · CIK 0001533931 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 26,910

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: Shares held in trust by Kathryn Hill Trustee of the Kathryn Hill 2007 Trust U/A/D 1/10/2007 Reserve Account.

Read SEC document
September 12, 2018 Filed Sep 14, 2018 20:27 UTC Exercise / conversionRestricted Stock Unit · Derivative 7,916 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-18-000102 · edgardoc.xml · derivative · entry 4

EARHART ALAN L · CIK 0001246846 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,916 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.

F3 · derivative.exercise_date: On September 11, 2015, the reporting person was granted 7,916 restricted stock units which vest on the day immediately preceding the date of the next Annual Stockholders Meeting of the Company following the Grant Date, subject to the Participant?s continuous service on the Board through such date. The RSUs have been deferred and the payout shall be within 30 days of the earlier of the date his service on the Board ceases for any reason of the date on which a Change of Control occurs.

F3 · derivative.expiration_date: On September 11, 2015, the reporting person was granted 7,916 restricted stock units which vest on the day immediately preceding the date of the next Annual Stockholders Meeting of the Company following the Grant Date, subject to the Participant?s continuous service on the Board through such date. The RSUs have been deferred and the payout shall be within 30 days of the earlier of the date his service on the Board ceases for any reason of the date on which a Change of Control occurs.

Read SEC document
September 12, 2018 Filed Sep 14, 2018 20:27 UTC Exercise / conversionRestricted Stock Unit · Derivative 6,150 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001614094-18-000102 · edgardoc.xml · derivative · entry 3

EARHART ALAN L · CIK 0001246846 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,916

Underlying: Common Stock · 6,150 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 14, 2017, the reporting person was granted 6,150 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 14, 2017, the reporting person was granted 6,150 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.

Read SEC document
September 12, 2018 Filed Sep 14, 2018 20:27 UTC Exercise / conversionCommon Stock 7,916 $0.00 $0.00
Disclosure

SEC source: 0001614094-18-000102 · edgardoc.xml · nonDerivative · entry 2

EARHART ALAN L · CIK 0001246846 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,887

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
September 12, 2018 Filed Sep 14, 2018 20:27 UTC Exercise / conversionCommon Stock 6,150 $0.00 $0.00
Disclosure

SEC source: 0001614094-18-000102 · edgardoc.xml · nonDerivative · entry 1

EARHART ALAN L · CIK 0001246846 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,971

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
September 04, 2018 Filed Sep 5, 2018 20:56 UTC
Kurian GeorgeDirector · CEO
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative 6,000 $86.61 Strike: $40.70 $519,637.80
Disclosure

SEC source: 0001614094-18-000091 · edgardoc.xml · derivative · entry 3

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 6,000 shares

Expires 2020-10-14

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_date: On October 15, 2013, the reporting person was granted 36,000 stock options of which 25% vested on September 20,2014. The balance of the shares vested monthly in equal installments over the next 36 months following September 20,2014, subject to continued service on each applicable vesting date.

Read SEC document
September 04, 2018 Filed Sep 5, 2018 20:56 UTC
Kurian GeorgeDirector · CEO
SaleCommon Stock 6,000 $86.61 $519,637.80
Disclosure

SEC source: 0001614094-18-000091 · edgardoc.xml · nonDerivative · entry 2

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,147

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 December 1, 2017.

F2 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $86.20 to $86.81. 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 04, 2018 Filed Sep 5, 2018 20:56 UTC
Kurian GeorgeDirector · CEO
Exercise / conversionCommon Stock 6,000 $40.70 $244,200.00
Disclosure

SEC source: 0001614094-18-000091 · edgardoc.xml · nonDerivative · entry 1

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,147

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
August 31, 2018 Filed Sep 5, 2018 20:57 UTC
REICH JOEL DExec VP, Product Operations
SaleCommon Stock 7,157 $86.83 $621,443.03
Disclosure

SEC source: 0001614094-18-000092 · edgardoc.xml · nonDerivative · entry 1

REICH JOEL D · CIK 0001648861 · Exec VP, Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 603

Read SEC document
August 20, 2018 Filed Aug 22, 2018 22:53 UTC
Kurian GeorgeDirector · CEO
SaleCommon Stock 36,646 $81.69 $2,993,509.13
Disclosure

SEC source: 0001614094-18-000088 · edgardoc.xml · nonDerivative · entry 1

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,147

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 December 1, 2017.

F2 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $81.215 to $82.20. 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
August 16, 2018 Filed Aug 20, 2018 23:22 UTC
RICHARD HENRI PEVP, Go To Market
SaleCommon Stock 400 $80.59 $32,237.00
Disclosure

SEC source: 0001614094-18-000087 · edgardoc.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,332

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 May 26, 2017.

F4 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $80.23 to $81.21. 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
August 16, 2018 Filed Aug 20, 2018 23:22 UTC
RICHARD HENRI PEVP, Go To Market
SaleCommon Stock 1,000 $79.74 $79,735.00
Disclosure

SEC source: 0001614094-18-000087 · edgardoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,732

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 May 26, 2017.

F3 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $79.46 to $80.13. 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
August 16, 2018 Filed Aug 20, 2018 23:22 UTC
RICHARD HENRI PEVP, Go To Market
SaleCommon Stock 1,125 $79.13 $89,024.96
Disclosure

SEC source: 0001614094-18-000087 · edgardoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,732

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 May 26, 2017.

F2 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $78.46 to $79.44. 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
August 01, 2018 Filed Aug 3, 2018 20:06 UTC
Kurian GeorgeDirector · CEO
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative 6,000 $78.23 Strike: $40.70 $469,376.40
Disclosure

SEC source: 0001614094-18-000085 · edgardoc.xml · derivative · entry 3

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 6,000 shares

Expires 2020-10-14

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
August 01, 2018 Filed Aug 3, 2018 20:06 UTC
Kurian GeorgeDirector · CEO
SaleCommon Stock 6,000 $78.23 $469,376.40
Disclosure

SEC source: 0001614094-18-000085 · edgardoc.xml · nonDerivative · entry 2

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,793

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 December 1, 2017.

F2 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $77.78 to $78.55. 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
August 01, 2018 Filed Aug 3, 2018 20:06 UTC
Kurian GeorgeDirector · CEO
Exercise / conversionCommon Stock 6,000 $40.70 $244,200.00
Disclosure

SEC source: 0001614094-18-000085 · edgardoc.xml · nonDerivative · entry 1

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,793

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
July 20, 2018 Filed Jul 24, 2018 20:21 UTC
Kurian GeorgeDirector · CEO
SaleCommon Stock 36,646 $81.97 $3,003,755.35
Disclosure

SEC source: 0001614094-18-000083 · edgardoc.xml · nonDerivative · entry 1

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,793

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 December 1, 2017.

F2 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $81.605 to $82.25. 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
July 16, 2018 Filed Jul 18, 2018 20:26 UTC
RICHARD HENRI PEVP, Go To Market
SaleCommon Stock 858 $82.30 $70,613.14
Disclosure

SEC source: 0001614094-18-000081 · edgardoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,857

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 December 20, 2017.

F3 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $82.01 to $82.73. 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
July 16, 2018 Filed Jul 18, 2018 20:26 UTC
RICHARD HENRI PEVP, Go To Market
SaleCommon Stock 1,667 $81.76 $136,296.92
Disclosure

SEC source: 0001614094-18-000081 · edgardoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,715

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 December 20, 2017.

F2 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $81.51 to $81.96. 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
July 02, 2018 Filed Jul 3, 2018 18:45 UTC
Kurian GeorgeDirector · CEO
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative 6,000 $78.16 Strike: $40.70 $468,989.40
Disclosure

SEC source: 0001614094-18-000079 · edgardoc.xml · derivative · entry 3

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 6,000 shares

Expires 2020-10-14

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
July 02, 2018 Filed Jul 3, 2018 18:45 UTC
Kurian GeorgeDirector · CEO
SaleCommon Stock 6,000 $78.16 $468,989.40
Disclosure

SEC source: 0001614094-18-000079 · edgardoc.xml · nonDerivative · entry 2

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,439

F1 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $77.66 to $78.62. 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
July 02, 2018 Filed Jul 3, 2018 18:45 UTC
Kurian GeorgeDirector · CEO
Exercise / conversionCommon Stock 6,000 $40.70 $244,200.00
Disclosure

SEC source: 0001614094-18-000079 · edgardoc.xml · nonDerivative · entry 1

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,439

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 27, 2018 Filed Jun 29, 2018 20:56 UTC
REICH JOEL DExec VP, Product Operations
SaleCommon Stock 25,000 $78.04 $1,951,000.00
Disclosure

SEC source: 0001614094-18-000077 · edgardoc.xml · nonDerivative · entry 1

REICH JOEL D · CIK 0001648861 · Exec VP, Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,760

F1 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $77.76 to $78.54. 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
June 21, 2018 Filed Jun 22, 2018 20:32 UTC
Kurian GeorgeDirector · CEO
SaleCommon Stock 4,779 $77.78 $371,726.87
Disclosure

SEC source: 0001614094-18-000075 · edgardoc.xml · nonDerivative · entry 2

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,439

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 December 1, 2017.

F3 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $77.7534 to $77.8034. 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
June 20, 2018 Filed Jun 22, 2018 20:32 UTC
Kurian GeorgeDirector · CEO
SaleCommon Stock 33,462 $78.30 $2,620,181.68
Disclosure

SEC source: 0001614094-18-000075 · edgardoc.xml · nonDerivative · entry 1

Kurian George · CIK 0001586813 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,218

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 December 1, 2017.

F2 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $78.09 to $78.40. 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
June 18, 2018 Filed Jun 19, 2018 20:19 UTC
RICHARD HENRI PEVP, Go To Market
SaleCommon Stock 1,462 $78.16 $114,267.14
Disclosure

SEC source: 0001614094-18-000073 · edgardoc.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,382

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 December 20, 2017.

F3 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $77.88 to $78.33. 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
June 18, 2018 Filed Jun 19, 2018 20:19 UTC
RICHARD HENRI PEVP, Go To Market
SaleCommon Stock 1,063 $77.53 $82,413.01
Disclosure

SEC source: 0001614094-18-000073 · edgardoc.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,844

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 December 20, 2017.

F2 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $76.93 to $77.84. 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
June 18, 2018 Filed Jun 19, 2018 20:19 UTC
HELD GERALDDirector
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative 4,500 $0.00 Strike: $37.62 $0.00
Disclosure

SEC source: 0001614094-18-000072 · edgardoc.xml · derivative · entry 4

HELD GERALD · CIK 0001212064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,500 shares

Expires 2018-08-30

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: The option is immediately exercisable, but any shares purchased under the option will be subject to repurchase by the Company at the option exercise price paid per share, upon the reporting person's cessation of Board service prior to vesting in those shares. 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.

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.