-----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, NaAbV9iqIHafAtdzDwRw1n/YYLxIaRGBCLHf2OfEcPLC0Vy6Qj04ImJI8RA3Gnkh qhF3cjMtrkVwyVLYQ03hfw== 0000758004-10-000153.txt : 20101216 0000758004-10-000153.hdr.sgml : 20101216 20101216165214 ACCESSION NUMBER: 0000758004-10-000153 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101214 FILED AS OF DATE: 20101216 DATE AS OF CHANGE: 20101216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wagner Joseph H CENTRAL INDEX KEY: 0001478736 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-13351 FILM NUMBER: 101257365 MAIL ADDRESS: STREET 1: NOVELL, INC. STREET 2: 404 WYMAN STREET, 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 2010-12-14 0000758004 NOVELL INC NOVL 0001478736 Wagner Joseph H NOVELL, INC. 404 WYMAN STREET, SUITE 500 WALTHAM MA 02451 0 1 0 0 SVP, GM Global Alliances Common Stock 2010-12-14 4 A 0 25756 0 A 313923 D Common Stock 2010-12-14 4 F 0 8178 5.99 D 305745 D Stock Option (right to buy) 6.71 2010-12-14 4 A 0 19405 0 A 2010-12-14 2015-12-18 Common Stock 19405 38810 D Stock Option (right to buy) 3.64 2010-12-14 4 A 0 58593 0 A 2010-12-14 2016-12-16 Common Stock 58593 58593 D Represents restricted stock units, granted to the reporting person on December 16, 2008, that vested on December 14, 2010, based upon satisfaction of certain predetermined performance criteria for fiscal 2010. The vested units were automatically converted into common stock on a one-for-one basis on the vesting date. Represents shares withheld to satisfy the tax liability of the reporting person upon the vesting of 25,756 shares under a Restricted Stock Unit award. On December 18, 2007, the reporting person was granted an option to purchase 77,620 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 2010 were met, resulting in the vesting of the option as to 19,405 shares. On December 16, 2008, the reporting person was granted an option to purchase 117,187 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, 2009, 2010, 2011 and 2012. The performance criteria for 2010 were met, resulting in the vesting of the option as to 58,593 shares. /s/ Elspeth Grant Pruett/Attorney-in-fact 2010-12-16 -----END PRIVACY-ENHANCED MESSAGE-----