- Statement of Changes in Beneficial Ownership (4)
2010年11月9日 - 6:04AM
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).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Expires:
February 28, 2011
Estimated average burden
hours per response...
0.5
|
|
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
|
|
1. Name and Address of Reporting Person
*
Saxena Jitendra S
|
2. Issuer Name
and
Ticker or Trading Symbol
NETEZZA CORP
[
NZ
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O NETEZZA CORPORATION, 26 FOREST STREET
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/4/2010
|
(Street)
MARLBOROUGH, MA 01752
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
11/4/2010
|
|
M
|
|
42000
|
A
|
$2.50
|
1265242
|
D
|
|
Common Stock
|
11/4/2010
|
|
S
(1)
|
|
42000
|
D
|
$26.98
|
1223242
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Employee Stock Option (right to buy)
|
$2.50
|
11/4/2010
|
|
M
|
|
|
42000
|
(2)
|
2/20/2016
|
Common Stock
|
42000
|
$0.00
|
232000
|
D
|
|
Explanation of Responses:
|
(
1)
|
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on January 15, 2010.
|
(
2)
|
Represents partial exercise of an option to purchase an aggregate of 400,000 shares granted by the issuer pursuant to its 2000 Stock Incentive Plan on February 20, 2006. This option is currently vested as to 380,000 shares, and will vest as to 20,000 additional shares on February 1, 2011.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Saxena Jitendra S
C/O NETEZZA CORPORATION
26 FOREST STREET
MARLBOROUGH, MA 01752
|
X
|
|
|
|
Signatures
|
/s/ Corey C. DuFresne (as attorney-in-fact for Jitendra S. Saxena)
|
|
11/8/2010
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
Netezza Common Stock (NYSE:NZ)
過去 株価チャート
から 10 2024 まで 11 2024
Netezza Common Stock (NYSE:NZ)
過去 株価チャート
から 11 2023 まで 11 2024
Real-Time news about Netezza Common Stock (ニューヨーク証券取引所): 0 recent articles
その他のニュース記事