SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE TO
(Rule 13e-4)
Tender Offer Statement Under Section 14(d)(1) or 13(e)(1)
of the Securities Exchange Act of 1934
NetApp, Inc.
(Name of Subject Company (Issuer) and Filing Person (Offeror))
Options to Purchase Common Stock, $0.001 par value
(Title of Class of Securities)
64110D104
(CUSIP Number of Class of Securities Underlying Common Stock)
Daniel J. Warmenhoven
Chief Executive Officer and Director
NetApp, Inc.
495 East Java Drive,
Sunnyvale, California 94089
(408) 822-6000
(Name, address and telephone numbers of person authorized to receive notices and
communications on behalf of filing persons)
Copies to:
Steven E. Bochner, Esq.
Wilson Sonsini Goodrich & Rosati
Professional Corporation
650 Page Mill Road
Palo Alto, CA 94304-1050
(650) 493-9300
CALCULATION OF FILING FEE
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Transaction Valuation* |
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Amount of Filing Fee |
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Not applicable*
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Not Applicable* |
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A filing fee is not required in connection with this filing as it relates solely to preliminary communications made before the
commencement of a tender offer. |
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Check the box if any part of the fee is offset as provided by Rule 0-11(a)(2) and identify the filing with which the
offsetting fee was previously paid. Identify the previous filing by registration statement number, or the Form or Schedule
and the date of its filing. |
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Amount Previously Paid:
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Not applicable. |
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Form or Registration No.:
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Not applicable. |
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Filing party:
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Not applicable. |
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Date filed:
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Not applicable. |
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Check the box if the filing relates solely to preliminary communications made before the commencement of a tender offer. |
Check the appropriate boxes below to designate any transactions to which the statement relates:
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third party tender offer subject to Rule 14d-1. |
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issuer tender offer subject to Rule 13e-4. |
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going-private transaction subject to Rule 13e-3. |
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amendment to Schedule 13D under Rule 13d-2. |
Check the following box if the filing is a final amendment reporting the results of the tender offer: o
TABLE OF CONTENTS
This filing contains only preliminary communications made before the commencement of an anticipated
one-time stock option exchange program (the Option Exchange Program) to allow employees
(excluding executive officers and directors) of NetApp, Inc. (the Company) that hold certain
eligible options to purchase shares of the Companys common stock (the stock options eligible for
the Option Exchange Program, eligible options) to exchange such eligible options for restricted
stock units.
Exhibit 99.1 to this filing is the Companys Definitive Proxy Statement for the Special Meeting of
Stockholders scheduled for April 21, 2009 (the Definitive Proxy Statement), which contains a
proposal that will be submitted to the Companys stockholders to approve the Option Exchange
Program and amendments to certain of the Companys equity plans to facilitate the Option Exchange
Program.
On March 23, 2009, Daniel J. Warmenhoven, NetApps Chairman and Chief Executive Officer, sent an
e-mail to employees of the Company (the E-mail Communication to Employees) describing the
Companys intention to commence the Option Exchange Program if stockholder approval is obtained.
The text of the e-mail is attached as Exhibit 99.2.
The Definitive Proxy Statement and the E-mail Communication to Employees do not constitute an offer
to holders of eligible options to exchange such options. The Option Exchange Program described in
the Definitive Proxy Statement and the E-mail Communication to Employees has not yet commenced.
The Option Exchange Program will only be commenced, if at all, if stockholders approve the Option
Exchange Program and the amendments to certain of the Companys equity plans to facilitate the
Option Exchange Program. Even if the requisite stockholder approval is obtained, the Company may
still decide later not to implement the Option Exchange Program. Persons who are eligible to
participate in the Option Exchange Program should read the Tender Offer Statement on Schedule TO
and other related materials when those materials become available because they will contain
important information about the Option Exchange Program. The Company will file the Tender Offer
Statement on Schedule TO with the Securities and Exchange Commission (the SEC) upon the
commencement of the Option Exchange Program. The Companys stockholders and option holders will be
able to obtain these written materials and other documents filed by the Company with the SEC free
of charge from the SECs website at www.sec.gov. Eligible holders of the Companys options may
obtain a written copy of the tender offer documents free of charge, when available, by contacting
the Compensation Group at NetApp, Inc., 495 East Java Dr., Sunnyvale, CA 94089.
Item 12. Exhibits.
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Exhibit |
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Description |
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99.1
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Definitive Proxy Statement for the Special Meeting of Stockholders
scheduled for April 21, 2009 (incorporated by reference to the
Definitive Proxy Statement on Schedule 14A filed with the
Securities and Exchange Commission on March 23, 2009). |
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99.2
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E-mail Communication to Employees from Daniel J. Warmenhoven. |