- Statement of Changes in Beneficial Ownership (4)
2010年11月4日 - 5:37AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Cotter Patricia
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2. Issuer Name
and
Ticker or Trading Symbol
NETEZZA CORP
[
NZ
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Sr. VP, Worldwide Operations
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(Last)
(First)
(Middle)
C/O NETEZZA CORPORATION, 26 FOREST STREET
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/1/2010
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(Street)
MARLBOROUGH, MA 01752
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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11/1/2010
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M
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1500
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A
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$2.50
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26500
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D
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Common Stock
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11/1/2010
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M
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2500
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A
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$6.70
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29000
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D
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Common Stock
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11/1/2010
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S
(1)
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4000
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D
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$26.98
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25000
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D
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Common Stock
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200
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I
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By mother
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (right to buy)
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$2.50
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11/1/2010
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M
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1500
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(2)
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2/1/2016
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Common Stock
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1500
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$0.00
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1500
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D
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Employee Stock Option (right to buy)
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$6.70
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11/1/2010
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M
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2500
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(3)
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2/14/2017
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Common Stock
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2500
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$0.00
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12500
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D
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Explanation of Responses:
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(
1)
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The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 1, 2009, as amended on April 8, 2010.
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(
2)
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Represents partial exercise of an option to purchase 30,000 shares granted by the issuer pursuant to its 2000 Stock Incentive Plan on February 20,2006. This option is currently vested as to 28,500 shares, and will vest as to 1,500 additional shares on February 1, 2011.
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(
3)
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Represents partial exercise of an option to purchase an aggregate of 50,000 shares granted by the issuer pursuant to its 2000 Stock Incentive Plan on February 14, 2007. This option is currently vested as to 37,500 shares, and will vest as to 2,500 additional shares on February 1, 2011 and at the end of each successive three-month period thereafter, through and including February 1, 2012.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Cotter Patricia
C/O NETEZZA CORPORATION
26 FOREST STREET
MARLBOROUGH, MA 01752
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Sr. VP, Worldwide Operations
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Signatures
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/s/ Corey C. DuFresne (as attorney-in-fact for Patricia Cotter)
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11/3/2010
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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