-----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, GvzT5riDujGUqFakBP+hFagMhvcDl8qBibI7NizX1FLiVJgFxd0j0z/m/rNzcH2Y seietPU4vbuKXXUwKA2a8w== 0000758004-08-000189.txt : 20081224 0000758004-08-000189.hdr.sgml : 20081224 20081224115521 ACCESSION NUMBER: 0000758004-08-000189 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081223 FILED AS OF DATE: 20081224 DATE AS OF CHANGE: 20081224 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FRIEDMAN ALAN J CENTRAL INDEX KEY: 0001236745 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-13351 FILM NUMBER: 081269623 MAIL ADDRESS: STREET 1: 1800 SOUTH NOVELL PLACE CITY: PROVO STATE: UT ZIP: 84606 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NOVELL INC CENTRAL INDEX KEY: 0000758004 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 870393339 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 BUSINESS ADDRESS: STREET 1: 1800 SOUTH NOVELL PLACE CITY: PROVO STATE: UT ZIP: 84606 BUSINESS PHONE: 8018617000 MAIL ADDRESS: STREET 1: 1800 SOUTH NOVELL PLACE CITY: PROVO STATE: UT ZIP: 84606 4 1 fri771.xml X0303 4 2008-12-23 0 0000758004 NOVELL INC NOVL 0001236745 FRIEDMAN ALAN J 404 WYMAN STREET, SUITE 500 WALTHAM MA 02451 0 1 0 0 Sr. VP - People Common Stock 2008-12-23 4 M 0 7622 0.00 A 121536 D Common Stock 2008-12-23 4 F 0 2443 3.47 D 119093 D Common Stock 2008-12-23 4 M 0 29237 0.00 A 148330 D Common Stock 2008-12-23 4 F 0 9371 3.47 D 138959 D Common Stock 2008-12-23 4 F 0 1562 3.47 D 137397 D Common Stock 2008-12-23 4 A 0 10944 0.00 A 148341 D Common Stock 2008-12-23 4 F 0 3508 3.47 D 144833 D Restricted Stock Units 2008-12-23 4 M 0 7622 0.00 D Common Stock 7622 0 D Restricted Stock Units 2008-12-23 4 M 0 29237 0.00 D Common Stock 29237 0 D Stock Option (right to buy) 6.71 2008-12-23 4 A 0 15200 0.00 A 2008-12-23 2015-12-18 Common Stock 15200 15200 D The 15,243 restricted stock units granted on December 12, 2006 vested 50% on December 21, 2007 and the remainder vested on December 23, 2008 based on Novell's satisfaction of certain performance criteria. As restricted stock units vest, the vested units are automatically converted to vested common stock on a one-for-one basis on the vesting date. The 48,728 restricted stock units granted on February 2, 2007 vested 40% on December 21, 2007 and the remainder vested on December 23, 2008 based on Novell's satisfaction of certain performance criteria. As restricted stock units vest, the vested units are automatically converted to vested common stock on a one-for-one basis on the vesting date. Each restricted stock unit represented the contingent right to receive one share of Novell common stock. On December 18, 2007, the reporting person was granted an option to purchase 60,803 shares of common stock. The option vests in four equal annual installments based on Novell's satisfaction of certain performance criteria for each of the fiscal years ending October 31, 2008, 2009, 2010 and 2011. The performance criteria for 2008 were met, resulting in the vesting of the option as to 15,200 shares. By: /s/ Elspeth Grant Pruett/Attorney-in-fact 2008-12-24 -----END PRIVACY-ENHANCED MESSAGE-----