-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, AwY8kcXfcXZFAYGe/cA3XSJWyLayYvVK9dAk4bH/qvXtibSpUwXo1c4WYHEEHqXy YzxNrN7hV5MThHjFUtMMsA== 0001209191-09-055369.txt : 20091203 0001209191-09-055369.hdr.sgml : 20091203 20091203163321 ACCESSION NUMBER: 0001209191-09-055369 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091201 FILED AS OF DATE: 20091203 DATE AS OF CHANGE: 20091203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Baum James CENTRAL INDEX KEY: 0001404933 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33445 FILM NUMBER: 091220527 MAIL ADDRESS: STREET 1: C/O NETEZZA CORPORATION STREET 2: 200 CROSSING BOULEVARD SUITE 500 CITY: FRAMINGHAM STATE: MA ZIP: 01702 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NETEZZA CORP CENTRAL INDEX KEY: 0001132484 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPUTERS [3571] IRS NUMBER: 043527320 FISCAL YEAR END: 0131 BUSINESS ADDRESS: STREET 1: 26 FOREST STREET CITY: MARLBOROUGH STATE: MA ZIP: 01752 BUSINESS PHONE: (508) 382-8200 MAIL ADDRESS: STREET 1: 26 FOREST STREET CITY: MARLBOROUGH STATE: MA ZIP: 01752 4 1 doc4.xml FORM 4 SUBMISSION X0303 4 2009-12-01 0 0001132484 NETEZZA CORP NZ 0001404933 Baum James C/O NETEZZA CORPORATION 26 FOREST STREET MARLBOROUGH MA 01752 1 1 0 0 President & CEO Common Stock 2009-12-01 4 M 0 10000 2.50 A 10000 D Common Stock 2009-12-01 4 S 0 10000 10.3258 D 0 D Employee Stock Option (right to buy) 2.50 2009-12-01 4 M 0 10000 0.00 D 2016-08-10 Common Stock 10000 850000 D The sales reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on April 14, 2009. The price reported represents the weighted average sales price of shares sold in multiple transactions at prices ranging from $10.22 to $10.4235 per share. The reporting person hereby undertakes, upon request of the Staff of the U.S. Securities and Exchange Commission, the issuer, or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. Represents partial exercise of an option to purchase an aggregate of 1,450,000 shares granted by the issuer pursuant to its 2000 Stock Incentive Plan on August 10, 2006. This option is currently vested as to 1,015,000 shares, and will vest as to 72,500 additional shares on January 1, 2010 and at the end of each successive three-month period thereafter, through and including April 1, 2011. /s/ Corey C. DuFresne (as attorney-in-fact for James Baum) 2009-12-03 -----END PRIVACY-ENHANCED MESSAGE-----