FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
NETEZZA CORP [ NZ ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 03/03/2008 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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 | 03/03/2008 | M | 25,000 | A | $0.2 | 25,000 | D | |||
Common Stock | 03/03/2008 | S(1) | 600 | D | $9.59 | 24,400 | D | |||
Common Stock | 03/03/2008 | S(1) | 100 | D | $9.7 | 24,300 | D | |||
Common Stock | 03/03/2008 | S(1) | 900 | D | $9.63 | 23,400 | D | |||
Common Stock | 03/03/2008 | S(1) | 400 | D | $9.5 | 23,000 | D | |||
Common Stock | 03/03/2008 | S(1) | 400 | D | $9.49 | 22,600 | D | |||
Common Stock | 03/03/2008 | S(1) | 100 | D | $9.5125 | 22,500 | D | |||
Common Stock | 03/03/2008 | S(1) | 500 | D | $9.515 | 22,000 | D | |||
Common Stock | 03/03/2008 | S(1) | 400 | D | $9.51 | 21,600 | D | |||
Common Stock | 03/03/2008 | S(1) | 400 | D | $9.54 | 21,200 | D | |||
Common Stock | 03/03/2008 | S(1) | 5,200 | D | $9.62 | 16,000 | D | |||
Common Stock | 03/03/2008 | S(1) | 700 | D | $9.53 | 15,300 | D | |||
Common Stock | 03/03/2008 | S(1) | 400 | D | $9.565 | 14,900 | D | |||
Common Stock | 03/03/2008 | S(1) | 5,600 | D | $9.57 | 9,300 | D | |||
Common Stock | 03/03/2008 | S(1) | 200 | D | $9.58 | 9,100 | D | |||
Common Stock | 03/03/2008 | S(1) | 1,300 | D | $9.6 | 7,800 | D | |||
Common Stock | 03/03/2008 | S(1) | 2,200 | D | $9.61 | 5,600 | D | |||
Common Stock | 03/03/2008 | S(1) | 2,100 | D | $9.64 | 3,500 | D | |||
Common Stock | 03/03/2008 | S(1) | 3,500 | D | $9.635 | 0 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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) | $0.2 | 03/03/2008 | M | 25,000 | (2) | 10/07/2013 | Common Stock | 25,000 | $0.00 | 225,000 | D | ||||
Employee Stock Option (right to buy) | $9.9 | 03/03/2008 | A | 150,000(3) | (4) | 03/03/2015 | Common Stock | 150,000 | $0.00 | 150,000 | 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 December 20, 2007. |
2. Represents partial exercise of a fully vested option to purchase an aggregate of 300,000 shares granted by the Issuer pursuant to its 2000 Stock Incentive Plan on October 7, 2003. |
3. Option granted under the Issuer's 2007 Stock Incentive Plan. |
4. Subject to certain criteria, the shares subject to such option will vest and become exercisable as follows: 30,000 shares subject to such option will vest on March 3, 2009 and 7,500 shares subject to such option will vest on June 3, 2009 and at the end of each successive 3-month period thereafter, up to and including March 3, 2013. |
Remarks: |
/s/ Michael Crowley (attorney-in-fact for Raymond Tacoma) | 03/05/2008 | |
** 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 Number. |