NTAP 10-K Annual Report April 28, 2023 | Alphaminr
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NTAP 10-K Fiscal year ended April 28, 2023

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NETAPP, INC.
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PROXIES
DEF 14A
 		Filed on July 26, 2024
DEF 14A
 		Filed on July 28, 2023
DEF 14A
 		Filed on July 28, 2022
DEF 14A
 		Filed on July 30, 2021
DEF 14A
 		Filed on July 31, 2020
DEF 14A
 		Filed on Aug. 2, 2019
DEF 14A
 		Filed on Aug. 1, 2018
DEF 14A
 		Filed on Aug. 1, 2017
DEF 14A
 		Filed on Aug. 2, 2016
DEF 14A
 		Filed on July 27, 2015
DEF 14A
 		Filed on July 25, 2014
DEF 14A
 		Filed on Aug. 2, 2013
DEF 14A
 		Filed on July 20, 2012
DEF 14A
 		Filed on July 19, 2011
DEF 14A
 		Filed on July 13, 2010
TABLE OF CONTENTS
Part IItem 1. BusinessItem 1A. Risk FactorsItem 1B. Unresolved Staff CommentsItem 2. PropertiesItem 3. Legal ProceedingsItem 4. Mine Safety DisclosuresPart IIItem 5. Market For Registrant S Common Equity, Related Stockholder Matters and Issuer Purchases Of Equity SecuritiesItem 6. [reserved]Item 7. Management S Discussion and Analysis Of Financial Condition and Results Of OperationsItem 7A. Quantitative and Qualitative Disclosures About Market RiskItem 8. Financial Statements and Supplementary DataItem 9. Changes in and Disagreements with Accountants on Accounting and Financial DisclosureItem 9A. Controls and ProceduresItem 9B. Other InformationItem 9C. Disclosure Regarding Foreign Jurisdictions That Prevent InspectionsPart IIIItem 10. Directors, Executive Officers and Corporate GovernanceItem 11. Executive CompensationItem 12. Security Ownership Of Certain Beneficial Owners and Management and Related Stockholder MattersItem 13. Certain Relationships and Related Transactions, and Director IndependenceItem 14. Principal Accountant Fees and ServicesPart IVItem 15. Exhibits, Financial Statement Schedules

Exhibits

3.1 Certificate of Incorporation of the Company, as amended. 10-Q 000-27130 3.1 September 13, 2021 3.2 Bylaws of the Company. 8-K 000-27130 3.2 September 13, 2021 4.1 Indenture dated December 12, 2012, by and between the Company and U.S. Bank National Association. 8-K 000-27130 4.1 December 12, 2012 4.2 First Supplemental Indenture dated December 12, 2012, by and between the Company and U.S. Bank National Association. 8-K 000-27130 4.2 December 12, 2012 4.3 Third Supplemental Indenture dated September 29, 2017 by and between the Company and U.S. Bank National Association. 8-K 000-27130 4.2 September 29, 2017 4.4 Fourth Supplemental Indenture, dated June 22, 2020, by and between NetApp, Inc. and U.S. Bank National Association. 8-K 000-27130 4.2 June 22, 2020 4.5 Description of Capital Stock of the Company. 10.1* Form of Indemnification Agreement by and between the Company and each of its directors and executive officers. 8-K 000-27130 10.1 May 31, 2023 10.2* Form of Change of Control Severance Agreement. 8-K 000-27130 10.1 May 22, 2019 10.3* The Companys Amended and Restated Executive Compensation Plan, as amended effective June 20, 2018. 10-Q 000-27130 10.1 August 21, 2018 10.4* The Companys Deferred Compensation Plan. 8-K 000-27130 2.1 July 7, 2005 10.5* The Companys Employee Stock Purchase Plan, as amended effective July 19, 2021. DEF 14A 000-27130 Appendix B July 30, 2021 10.6* The Companys Amended and Restated 1999 Stock Option Plan, as amended effective July 19, 2018. DEF 14A 000-27130 Appendix A August 1, 2018 10.7* Form of Restricted Stock Unit Agreement approved for use under the Companys amended and restated 1999 Stock Option Plan (Employees). 10-Q 000-27130 10.4 November 26, 2013 10.8* Form of Restricted Stock Unit Agreement (Employees) approved for use under the Companys 1999 Stock option Plan, effective June 2019. 10-K 000-27130 10.14 June 15, 2020 10.9* Form of Stock Option Agreement approved for use under the Companys amended and restated 1999 Stock Option Plan (Non-Employee Director Automatic Stock Option Initial). 10-K 000-27130 10.29 July 8, 2005 10.10* Form of Stock Option Agreement approved for use under the Companys amended and restated 1999 Stock Option Plan (Non-Employee Director Automatic Stock Option Annual). 10-K 000-27130 10.28 July 8, 2005 10.11* Form of Restricted Stock Unit Agreement approved for use under the Companys amended and restated 1999 Stock Option Plan (Non-Employees Directors). 10-K 000-27130 10.17 June 18, 2010 10.12* Form of Restricted Stock Unit Agreement (Non-Employee Directors) approved for use under the Companys 1999 Stock Option Plan. 10-Q 000-27130 10.2 February 11, 2019 10.13* Form of Restricted Stock Unit Agreement (Non-Employee Directors) approved for use under the Companys 1999 Stock Option Plan, effective June 2019. 10-K 000-27130 10.19 June 15, 2020 10.14* Form of Restricted Stock Unit Agreement (Performance-Based) Total Stockholder Return approved for use under the Companys 1999 Stock Option Plan, effective June 2019. 10-K 000-27130 10.23 June 15, 2020 10.15* SolidFire, Inc. 2016 Stock Incentive Plan. S-8 333-209570 99.2 February 17, 2016 10.16* Spotinst Inc. 2016 Equity Incentive Plan. S-8 333-248480 99.1 August 28, 2020 10.17* The Company's 2021 Equity Incentive Plan, effective September 10, 2021. DEF 14A 000-27130 Appendix A July 30, 2021 10.18* Form of Restricted Stock Unit Agreement approved for use under the Company's 2021 Equity Incentive Plan (Employee), effective September 10, 2021. 10-Q 000-27130 10.1 December 2, 2021 10.19* Form of Restricted Stock Unit Agreement approved for use under the Company's 2021 Equity Incentive Plan (Senior Executive), effective September 10, 2021. 10-Q 000-27130 10.2 December 2, 2021 10.20* Form of Restricted Stock Unit Agreement (Performance Based) under the Company's 2021 Equity Incentive Plan, effective September 10, 2021. 10-Q 000-27130 10.3 December 2, 2021 10.21* Form of Restricted Stock Unit Agreement approved for use under the Company's 2021 Equity Incentive Plan (Non-Employee Director), effective November 1, 2021. 10-Q 000-27130 10.1 March 2, 2022 10.22* Plexistor Ltd. Amended and Restated Global Share Incentive Plan (2014). S-8 333-219061 99.1 June 29, 2017 10.23* Cognigo Research Ltd. Amended and Restated Global Share Incentive Plan (2016). S-8 333-232187 99.1 June 18, 2019 10.24* CloudCheckr Inc. Amended and Restated 2017 Stock Option and Grant Plan. S-8 333-261465 99.1 December 2, 2021 10.25* Outside Director Compensation Policy, effective November 1, 2021. 10-Q 000-27130 10.2 March 2, 2022 10.26* Amended and Restated Instaclustr US Holding, Inc. 2018 Stock Option Plan S-8 333-265648 99.1 June 16, 2022 10.27* Form of Restricted Stock Unit Agreement (Performance-Based) Billings approved for use under the Companys 2021 Equity Incentive Plan, effective July 1, 2022 10.28* Form of Restricted Stock Unit Agreement (Performance-Based) Total Shareholder Return approved for use under the Companys 2021 Equity Incentive Plan, effective July 1, 2022 10.29 NetApp, Inc. Executive Retiree Health Plan, as amended and restated. 8-K 000-27130 10.1 November 21, 2016 10.30 Amended and Restated Credit Agreement, dated as of January 22, 2021, by and among the NetApp, Inc, the lenders from time to time party thereto and JPMorgan Chase Bank, N.A., as administrative agent. 8-K 000-27130 10.1 January 22, 2021 10.31 Amendment No.1 to Amended and Restated Credit Agreement, dated as of November 17, 2021, by and among the Company, the 10-Q 000-27130 10.3 March 2, 2022 lenders from time to time party thereto and JPMorgan Chase Bank, N.A., as administrative agent. 10.32 Amendment No.2 to Amended and Restated Credit Agreement, dated as of May 3, 2023, by and among the Company, the lenders from time to time party thereto and JPMorgan Chase Bank, N.A., as administrative agent. 10.33 Form of Dealer Agreement between the Company, as issuer, and each Dealer. 8-K 000-27130 10.2 December 12, 2016 10.34 Agreement of Purchase and Sale and Joint Escrow Instructions dated as of March 9, 2016 by and between the Company and Google Inc. 10-K 000-27130 10.41 June 22, 2016 10.35 First Amendment to Agreement of Purchase and Sale and Joint Escrow Instructions dated as of March 11, 2016, by and between the Company and Google Inc. 10-K 000-27130 10.42 June 22, 2016 10.36 Second Amendment to Agreement of Purchase and Sale and Joint Escrow Instructions dated as of April 8, 2016, by and between the Company and Google Inc. 10-K 000-27130 10.43 June 22, 2016 10.37 Agreement of Purchase and Sale and Joint Escrow Instructions dated as of September 11, 2017 by and between the Company and Google Inc. 10-Q 000-27130 10.2 November 29, 2017 10.38 First Amendment to Agreement of Purchase and Sale and Joint Escrow Instructions dated as of October 2, 2017, by and between the Company and Google LLC. 10-Q 000-27130 10.3 November 29, 2017 10.39 Second Amendment to Agreement of Purchase and Sale and Joint Escrow Instructions dated as of October 25, 2017, by and between the Company and Google LLC. 10-Q 000-27130 10.4 November 29, 2017 10.40 Third Amendment to Agreement of Purchase and Sale and Joint Escrow Instructions dated as of October 31, 2017, by and between the Company and Google LLC. 10-Q 000-27130 10.1 February 22, 2018 10.41 Fourth Amendment to Agreement of Purchase and Sale and Joint Escrow Instructions dated as of November 2, 2017, 10-Q 000-27130 10.2 February 22, 2018 by and between the Company and Google LLC. 10.42 Fifth Amendment to Agreement of Purchase and Sale and Joint Escrow Instructions dated as of November 8, 2017, by and between the Company and Google LLC. 10-Q 000-27130 10.3 February 22, 2018 10.43 Sixth Amendment to Agreement of Purchase and Sale and Joint Escrow Instructions dated as of November 10, 2017, by and between the Company and Google LLC. 10-Q 000-27130 10.4 February 22, 2018 10.44 Seventh Amendment to the Agreement of Purchase and Sale and Joint Escrow Instructions dated as of March 15, 2019 by and between the Company and Google LLC. 10-K 000-27130 10.54 June 18, 2019 10.45 Separation Agreement dated May 28, 2020 by and between the Company and Henri Richard. 10-K 000-27130 10.57 June 15, 2020 10.46 Offer Letter for employment at the Company to Csar Cernuda, date March 23, 2020. 10-K 000-27130 10.58 June 15, 2020 10.47 Senior Executive Employment Contract by and between NetApp Sales Spain S.L., a subsidiary of the Company, and Cesar Cernuda, effective January 1, 2021 10-Q 000-27130 10.1 January 29, 2021 10.48 Offer Letter for employment at the Company to Michael J. Berry, dated January 30, 2020. 10-Q 000-27130 10.1 August 28, 2020 10.49 Underwriting Agreement, dated June 17, 2020, by and among the Company, Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC, BofA Securities, Inc. and Morgan Stanley & Co. LLC. 8-K 000-27130 1.1 June 17, 2020 21.1 Subsidiaries of the Company. 23.1 Consent of Independent Registered Public Accounting Firm. 31.1 Certification of the Chief Executive Officer pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002. 31.2 Certification of the Chief Financial Officer pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002. 32.1 Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to section 906 of the Sarbanes-Oxley Act of 2002. 32.2 Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to section 906 of the Sarbanes-Oxley Act of 2002.