-----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, HhyJF45AMW9BZ7ZizurenmIGO1bySS4xlCP17bu+FpRFs9Jt/NJg5vM18esPJKT5 7WGLjW6d1QRwqLoPftKmSg== 0000758004-09-000185.txt : 20091210 0000758004-09-000185.hdr.sgml : 20091210 20091210164022 ACCESSION NUMBER: 0000758004-09-000185 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091208 FILED AS OF DATE: 20091210 DATE AS OF CHANGE: 20091210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: O'Keefe Colleen A CENTRAL INDEX KEY: 0001382276 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-13351 FILM NUMBER: 091234111 MAIL ADDRESS: STREET 1: 404 WYMAN STREET STREET 2: SUITE 500 CITY: WALTHAM STATE: MA ZIP: 02451 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: 404 WYMAN STREET, SUITE 500 CITY: WALTHAM STATE: MA ZIP: 02451 BUSINESS PHONE: 8018617000 MAIL ADDRESS: STREET 1: 1800 SOUTH NOVELL PLACE CITY: PROVO STATE: UT ZIP: 84606 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2009-12-08 0000758004 NOVELL INC NOVL 0001382276 O'Keefe Colleen A NOVELL, INC. 404 WYMAN STREET, SUITE 500 WALTHAM MA 02451 0 1 0 0 Senior VP of Services Common Stock 2009-12-08 4 A 0 62656 0 A 208722 D Stock Option (right to buy) 3.99 2009-12-08 4 A 0 128205 0 A 2017-12-08 Common Stock 128205 128205 D Represents shares of common stock that may be issued upon the vesting of a like number of restricted stock units granted on December 8, 2009. The units will vest in three equal installments if the last reported sales price of Novell's common stock on NASDAQ for the immediately preceding 20 consecutive trading day period equals or exceeds $5.50, $7.00 and $8.50 respectively, which target prices are subject to reduction at the discretion of the Company's Board of Directors or a committee thereof. As the restricted stock units vest, the vested units will automatically be converted to vested common stock on a one-for-one basis. Any units that have not vested by December 8, 2016, will be forfeited. Of these securities, 25% vest on December 8, 2010, and 2.0833% vest monthly thereafter so that the options are fully vested on December 8, 2013. /s/ Elspeth Grant Pruett/Attorney-in-fact 2009-12-10 -----END PRIVACY-ENHANCED MESSAGE-----