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) 01/31/2008 | ||||||||||||||||||||||||||
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 | 01/31/2008 | J(1) | 5,697,931 | D | $0.00 | 0 | D(2) | |||
Common Stock | 01/31/2008 | J(3) | 508,028 | D | $0.00 | 0 | D(4) | |||
Common Stock | 01/31/2008 | J(1) | 820,714 | D | $0.00 | 0 | D(5) | |||
Common Stock | 01/31/2008 | J(6) | 10,451 | D | $0.00 | 0 | D(7) |
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 |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. Pro rata distribution for no consideration to partners of the limited partnership. |
2. Represents only securities held directly by Sequoia Capital X. SCX Management, LLC ("SCX") is the general partner of Sequoia Capital X. |
3. Pro rata distribution for no consideration to members of the limited liability company. |
4. Represents only securities held directly by Sequoia Capital X Principals Fund, L.L.C. SCX is the Managing Member of Sequoia Capital X Principals Fund, L.L.C. |
5. Represents only securities held directly by Sequoia Technology Partners X. SCX is the general partner of Sequoia Technology Partners X. |
6. Pro rata distribution by SCX to its members of the 10,451 shares received in the pro rata distribution by Sequoia Capital X to its partners reported above. SCX, as general partner of Sequoia Capital X, previously reported beneficial ownership of the securities held by Sequoia Capital X. Receipt of such securities by SCX effected only a change in the form of SCX's beneficial ownership of securities and was not a reportable event. |
7. Represents only securities held directly by SCX. |
Remarks: |
/s/ Michael Crowley (as attorney-in-fact for Sequoia Capital X) | 02/04/2008 | |
/s/ Michael Crowley (as attorney-in-fact for Sequoia Capital X Principals Fund L.L.C.) | 02/04/2008 | |
/s/ Michael Crowley (as attorney-in-fact for Sequoia Technology Partners X LP) | 02/04/2008 | |
/s/ Michael Crowley (as attorney-in-fact for SCX Management, LLC) | 02/04/2008 | |
** 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. |