-----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, OHgtcECCiFg1daycvg1m/yQ7eVG1jp9ZAUSrvm5Sr0SURbWchqvVXJKYQ1KdP1sn SzqqpgznelxHzWGE+iBzXg== 0000950135-08-000983.txt : 20080214 0000950135-08-000983.hdr.sgml : 20080214 20080214131446 ACCESSION NUMBER: 0000950135-08-000983 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080214 DATE AS OF CHANGE: 20080214 GROUP MEMBERS: MATRIX VI MANAGEMENT CO., L.L.C. GROUP MEMBERS: MATRIX VI PARALLEL PARTNERSHIP-A, L.P. GROUP MEMBERS: MATRIX VI PARALLEL PARTNERSHIP-B, L.P. GROUP MEMBERS: PAUL J. FERRI SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NETEZZA CORP CENTRAL INDEX KEY: 0001132484 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPUTERS [3571] IRS NUMBER: 043527320 FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-83644 FILM NUMBER: 08612186 BUSINESS ADDRESS: STREET 1: 200 CROSSING BOULEVARD CITY: FRAMINGHAM STATE: MA ZIP: 01702 BUSINESS PHONE: (508) 665-6800 MAIL ADDRESS: STREET 1: 200 CROSSING BOULEVARD CITY: FRAMINGHAM STATE: MA ZIP: 01702 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MATRIX PARTNERS VI LP ET AL CENTRAL INDEX KEY: 0001103475 IRS NUMBER: 043496468 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O MATRIX PARTNERS STREET 2: 1000 WINTER STREET, SUITE 4500 CITY: WALTHAM STATE: MA ZIP: 02451 BUSINESS PHONE: 781 890 2244 MAIL ADDRESS: STREET 1: C/O MATRIX PARTNERS STREET 2: 1000 WINTER STREET, SUITE 4500 CITY: WALTHAM STATE: MA ZIP: 02451 FORMER COMPANY: FORMER CONFORMED NAME: MATRIX PARTNERS VI LP DATE OF NAME CHANGE: 20000115 SC 13G 1 b68577ncsc13g.htm SCHEDULE 13G NETEZZA CORPORATION sc13g
 

 
 
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES
13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2
( Amendment No. )
Netezza Corporation
 
(Name of Issuer)
Common Stock, par value $0.001 per share
 
(Title of Class of Securities)
64111N 10 1
 
(CUSIP Number)
December 31, 2007
 
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
     o Rule 13d-1(b)
     o Rule 13d-1(c)
     þ Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
 
 


 

                     
CUSIP No.
 
64111N 10 1 
 

 

           
1   Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Matrix Partners VI, L.P. (04-3496468)
     
     
2   Check the Appropriate Box if a Member of a Group (See Instructions)

  (a)   o
  (b)   þ1
     
3   SEC Use Only
   
   
     
4   Citizenship or Place of Organization
   
  Delaware
       
  5   Sole Voting Power
     
Number of   5,707,3452
       
Shares 6   Shared Voting Power
Beneficially    
Owned by  
       
Each 7   Sole Dispositive Power
Reporting    
Person   5,707,3452
       
With: 8   Shared Dispositive Power
     
   
     
9   Aggregate Amount Beneficially Owned by Each Reporting Person
   
  5,707,3452
     
10   Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
   
  o
     
11   Percent of Class Represented by Amount in Row (9)
   
  9.96%3
     
12   Type of Reporting Person (See Instructions)
   
  PN
1 This Schedule 13G is filed by Matrix Partners VI, L.P. (“Matrix VI”); Matrix VI Parallel Partnership-A, L.P. (“Parallel A”), Matrix VI Parallel Partnership-B, L.P. (“Parallel B”) (collectively, “ Matrix VI Entities”); Matrix VI Management Co., L.L.C. (“Matrix VI MC”), the general partner of each of the Matrix VI Entities; and Paul J. Ferri (“Ferri”), Managing Member of Matrix VI MC (collectively, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.
2 Represents 5,707,345 shares held by Matrix VI. Matrix VI MC is the general partner of Matrix VI, and Ferri is a managing member of Matrix VI MC. Ferri has sole voting and dispositive power with respect to the Matrix VI shares. The Reporting Persons disclaim beneficial ownership of the Matrix VI shares, except to the extent of their respective pecuniary interests therein.
3 This percentage is calculated based upon 57,321,374 shares of the Issuer’s common stock outstanding as of December 31, 2007.

Page 2 of 11 pages


 

                     
CUSIP No.
 
64111N 10 1 
 

 

           
1   Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Matrix VI Parallel Partnership-A, L.P. (04-3510156)
     
     
2   Check the Appropriate Box if a Member of a Group (See Instructions)

  (a)   o
  (b)   þ4
     
3   SEC Use Only
   
   
     
4   Citizenship or Place of Organization
   
  Delaware
       
  5   Sole Voting Power
     
Number of   1,904,0475
       
Shares 6   Shared Voting Power
Beneficially    
Owned by  
       
Each 7   Sole Dispositive Power
Reporting    
Person   1,904,0475
       
With: 8   Shared Dispositive Power
     
   
     
9   Aggregate Amount Beneficially Owned by Each Reporting Person
   
  1,904,0475
     
10   Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
   
  o
     
11   Percent of Class Represented by Amount in Row (9)
   
  3.32%6
     
12   Type of Reporting Person (See Instructions)
   
  PN
4 This Schedule 13G is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.
5 Represents 1,904,047 shares held by Parallel A. Matrix VI MC is the general partner of Parallel A, and Ferri is a managing member of Matrix VI MC. Ferri has sole voting and dispositive power with respect to the Parallel A shares. The Reporting Persons disclaim beneficial ownership of the Parallel A shares, except to the extent of their respective pecuniary interests therein.
6 This percentage is calculated based upon 57,321,374 shares of the Issuer’s common stock outstanding as of December 31, 2007.

Page 3 of 11 pages


 

                     
CUSIP No.
 
64111N 10 1 
 

 

           
1   Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Matrix VI Parallel Partnership-B, L.P. (04-3510157)
     
     
2   Check the Appropriate Box if a Member of a Group (See Instructions)

  (a)   o
  (b)   þ7
     
3   SEC Use Only
   
   
     
4   Citizenship or Place of Organization
   
  Delaware
       
  5   Sole Voting Power
     
Number of   637,8808
       
Shares 6   Shared Voting Power
Beneficially    
Owned by  
       
Each 7   Sole Dispositive Power
Reporting    
Person   637,8808
       
With: 8   Shared Dispositive Power
     
   
     
9   Aggregate Amount Beneficially Owned by Each Reporting Person
   
  637,8808
     
10   Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
   
  o
     
11   Percent of Class Represented by Amount in Row (9)
   
  1.11%9
     
12   Type of Reporting Person (See Instructions)
   
  PN
7 This Schedule 13G if filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.
8 Represents 637,880 shares held by Parallel B. Matrix VI MC is the general partner of Parallel B, and Ferri is a managing member of Matrix VI MC. Ferri has sole voting and dispositive power with respect to the Parallel B shares. The Reporting Persons disclaim beneficial ownership of the Parallel B shares, except to the extent of their respective pecuniary interests therein.
9 This percentage is calculated based upon 57,321,374 shares of the Issuer’s common stock outstanding as of December 31, 2007.

Page 4 of 11 pages


 

                     
CUSIP No.
 
64111N 10 1 
 

 

           
1   NAME OF REPORTING PERSONS.
I.R.S. Identification Nos. of above persons (entities only).
Matrix VI Management Co., L.L.C. (04-3496466)
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)   o
  (b)   þ10
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  Delaware
       
  5   SOLE VOTING POWER
     
NUMBER OF   8,249,27211
       
SHARES 6   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY  
       
EACH 7   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   8,249,27211
       
WITH: 8   SHARED DISPOSITIVE POWER
     
   
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  8,249,27211
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
  14.39%12
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
   
  OO
10 This Schedule 13G if filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.
11 Includes 8,249,272 shares held by the Matrix VI Entities (5,707,345 shares held by Matrix VI, 1,904,047 shares held by Parallel A, and 637,880 shares held by Parallel B). Matrix VI MC is the general partner of the Matrix VI Entities, and Ferri is a managing member of Matrix VI MC. Ferri has sole voting and dispositive power with respect to the Matrix VI Entities shares. The Reporting Persons disclaim beneficial ownership of the Matrix VI Entities shares, except to the extent of their respective pecuniary interests therein.
12 This percentage is calculated based upon 57,321,374 shares of the Issuer’s common stock outstanding as of December 31, 2007.

Page 5 of 11 pages


 

                     
CUSIP No.
 
64111N 10 1 
 

 

           
1   NAME OF REPORTING PERSONS.
I.R.S. Identification Nos. of above persons (entities only).
Paul J. Ferri
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)   o
  (b)   þ13
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  United States
       
  5   SOLE VOTING POWER
     
NUMBER OF   8,261,77214
       
SHARES 6   SHARED VOTING POWER

BENEFICIALLY    
OWNED BY  
       
EACH 7   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   8,261,77214
       
WITH: 8   SHARED DISPOSITIVE POWER
     
   
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  8,261,77214
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
  14.41%15
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
   
  IN
13 This Schedule 13G if filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.
14 Includes 8,249,272 shares held by the Matrix VI Entities (5,707,345 shares held by Matrix VI, 1,904,047 shares held by Parallel A, 637,880 shares held by Parallel B); and options to purchase 12,500 shares of common stock (exercisable on or within 60 days of the Date of Event of this Schedule 13G filing) held by Ferri (the “Ferri Options”). Matrix VI MC is the general partner of each of the Matrix VI Entities, and Ferri is a managing member of Matrix VI MC. Ferri has sole voting and dispositive power with respect to the Matrix VI Entities shares and the Ferri Options. The Reporting Person disclaims beneficial ownership of the Matrix VI Entities shares, except to the extent of his pecuniary interest therein.
15 This percentage is calculated based upon 57,321,374 shares of the Issuer’s common stock outstanding as of December 31, 2007.

Page 6 of 11 pages


 

CUSIP No.     64111N 10 1
     
Item 1(a)
  Name of Issuer:
 
   
 
  Netezza Corporation
 
   
Item 1(b)
  Address of Issuer’s Principal Executive Offices:
 
   
 
  200 Crossing Boulevard
 
  Framingham, MA 01702
 
   
Item 2(a)
  Name of Person Filing:
 
   
 
  The reporting persons are:
 
   
 
  Matrix Partners VI, L.P. (“Matrix VI”)
 
   
 
  Matrix VI Parallel Partnership-A, L.P. (“Parallel A”)
 
   
 
  Matrix VI Parallel Partnership-B, L.P. (“Parallel B”)
 
   
 
  Matrix VI Management Co., L.L.C. (“Matrix VI MC”)
 
   
 
  Paul J. Ferri (“Ferri”)
 
   
Item 2(b)
  Address of Principal Business Office or, if None, Residence:
 
   
 
  The address of each of the reporting persons is:
 
   
 
  c/o Matrix Partners
 
  100 Winter Street, Suite 4500
 
  Waltham, MA 02451
 
   
Item 2(c)
  Citizenship:
         
 
  Matrix VI   Delaware limited partnership
 
  Parallel A   Delaware limited partnership
 
  Parallel B   Delaware limited partnership
 
  Matrix VI MC   Delaware limited liability company
 
  Ferri   United States citizen
     
Item 2(d)
  Title of Class of Securities:
 
   
 
  This Schedule 13G report relates to the Common Stock, par value $0.001 per share (the “Common Stock”), of Netezza Corporation.
 
   
Item 2(e)
  CUSIP Number:
 
   
 
  64111N 10 1
 
   
Item 3
  Description of Person Filing:
 
   
 
  Not applicable.
 
   
Item 4
  Ownership:
  (a)   Amount Beneficially Owned:
Page 7 of 11 pages

 


 

CUSIP No.     64111N 10 1
As of December 31, 2007: (i) Matrix VI was the record holder of 5,707,345 shares of Common Stock (the “Matrix VI Shares”); (ii) Parallel A was the record holder of 1,904,047 shares of Common Stock (the “Parallel A Shares”); (iii) Parallel B was the record holder of 637,880 shares of Common Stock (the “Parallel B Shares”); (iv) Matrix VI MC was the record holder of 0 shares of common stock; and (v) Ferri held options to purchase 12,500 shares of common stock exercisable on or within 60 days of the Date of Event for this Schedule 13G filing (the “Ferri Shares”) .
Matrix VI MC, as the general partner of each of Matrix VI, Parallel A and Parallel B, has sole voting and dispositive power of the Matrix VI Shares, Parallel A Shares and Parallel B Shares. Ferri, as a managing member of Matrix VI MC, has sole voting and dispositive power of the Matrix VI Shares, the Parallel A Shares and the Parallel B Shares.
Ferri has sole power to vote and/or dispose of the Ferri Shares.
  (b)   Percent of Class:
         
Matrix VI:
    9.96 %
Parallel A:
    3.32 %
Parallel B:
    1.11 %
Matrix VI MC:
    14.39 %
Ferri:
    14.41 %
  (c)   Number of Shares as to which the Person has:
                                 
          NUMBER OF SHARES
Reporting Person   (i)   (ii)   (iii)   (iv)
Matrix VI
    5,707,345       0       5,707,345       0  
Parallel A
    1,904,047       0       1,904,047       0  
Parallel B
    637,880       0       637,880       0  
Matrix VI MC
    8,249,272       0       8,249,272       0  
Ferri
    8,261,772       0       8,261,772       0  
 
                               
 
(i)   Sole power to vote or direct the vote
 
(ii)   Shared power to vote or to direct the vote
 
(iii)   Sole power to dispose or to direct the disposition of
 
(iv)   Shared power to dispose or to direct the disposition of
     
Item 5
  Ownership of Five Percent or Less of a Class:
 
   
 
  If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ].
 
   
Item 6
  Ownership of More than Five Percent on Behalf of Another Person:
 
   
 
  Not applicable.
Page 8 of 11 pages

 


 

CUSIP No.     64111N 10 1
     
Item 7
  Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person:
 
   
 
  Not applicable.
 
   
Item 8
  Identification and Classification of Members of the Group:
 
   
 
  Each of the Reporting Persons expressly disclaims membership in a “Group” as defined in Rule 13d-1(b)(ii)(J).
 
   
Item 9
  Notice of Dissolution of Group:
 
   
 
  Not applicable.
 
   
Item 10
  Certification:
 
   
 
  Not applicable.
 
   
 
  This Schedule 13G is not filed pursuant to Rule 13d-1(b) or Rule 13d-1(c).
Page 9 of 11 pages

 


 

CUSIP No.     64111N 10 1
SIGNATURE
     After reasonable inquiry and to the best of the knowledge and belief of each of the undersigned, each of the undersigned hereby certifies that the information set forth in this statement is true, complete and correct.
DATED: February 14, 2008.
                         
 
                       
    Matrix Partners VI, L.P.            
 
                       
    By:   Matrix VI Management Co., L.L.C., Its General Partner            
 
                       
 
      By:   /s/  Paul J. Ferri             
                     
 
          Paul J. Ferri, Authorized Member            
 
                       
    Matrix VI Parallel Partnership-A, L.P.            
 
                       
    By:   Matrix VI Management Co., L.L.C., Its General Partner            
 
                       
 
      By:   /s/  Paul J. Ferri             
                     
 
          Paul J. Ferri, Authorized Member            
 
                       
    Matrix VI Parallel Partnership-B, L.P.            
 
                       
    By:   Matrix VI Management Co., L.L.C. , Its General Partner            
 
                       
 
      By:   /s/  Paul J. Ferri             
                     
 
          Paul J. Ferri, Authorized Member            
 
                       
    Matrix VI Management Co., L.L.C.            
 
                       
 
      By:   /s/  Paul J. Ferri             
                     
 
          Paul J. Ferri, Authorized Member            
 
                       
 
  /s/ Paul J. Ferri     
             
    Paul J. Ferri            
Page 10 of 11 pages

 


 

CUSIP No.     64111N 10 1
Exhibit I
JOINT FILING AGREEMENT
     Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that only one statement containing the information required by Schedule 13G need be filed with respect to the ownership by each of the undersigned of the shares of Common Stock of Netezza Corporation.
     This Agreement may be executed in any number of counterparts, each of which shall be deemed an original.
     EXECUTED as of this 14th day of February, 2008.
                         
 
                       
    Matrix Partners VI, L.P.            
 
                       
    By:   Matrix VI Management Co., L.L.C., Its General Partner            
 
                       
 
      By:   /s/ Paul J. Ferri             
                     
 
          Paul J. Ferri, Authorized Member            
 
                       
    Matrix VI Parallel Partnership-A, L.P.            
 
                       
    By:   Matrix VI Management Co., L.L.C., Its General Partner            
 
                       
 
      By:   /s/ Paul J. Ferri             
                     
 
          Paul J. Ferri, Authorized Member            
 
                       
    Matrix VI Parallel Partnership-B, L.P.            
 
                       
    By:   Matrix VI Management Co., L.L.C., Its General Partner            
 
                       
 
      By:   /s/ Paul J. Ferri             
                     
 
          Paul J. Ferri, Authorized Member            
 
                       
    Matrix VI Management Co., L.L.C.            
 
                       
 
      By:   /s/ Paul J. Ferri             
                     
 
          Paul J. Ferri, Authorized Member            
 
                       
    /s/ Paul J. Ferri            
             
    Paul J. Ferri            
Page 11 of 11 pages

 

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