-----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, AlQwAGXQi7XGSF/NjEZZu4mpg9xfMMROv6ZMmUe5FKfCJn295ja77yFlZcAAKh8c Ke+ba+Y2AqxUYE+Xpb9F0g== 0001209191-10-039906.txt : 20100728 0001209191-10-039906.hdr.sgml : 20100728 20100728161417 ACCESSION NUMBER: 0001209191-10-039906 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100726 FILED AS OF DATE: 20100728 DATE AS OF CHANGE: 20100728 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Baum James CENTRAL INDEX KEY: 0001404933 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33445 FILM NUMBER: 10974513 MAIL ADDRESS: STREET 1: C/O NETEZZA CORPORATION STREET 2: 200 CROSSING BOULEVARD SUITE 500 CITY: FRAMINGHAM STATE: MA ZIP: 01702 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NETEZZA CORP CENTRAL INDEX KEY: 0001132484 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPUTERS [3571] IRS NUMBER: 043527320 FISCAL YEAR END: 0131 BUSINESS ADDRESS: STREET 1: 26 FOREST STREET CITY: MARLBOROUGH STATE: MA ZIP: 01752 BUSINESS PHONE: (508) 382-8200 MAIL ADDRESS: STREET 1: 26 FOREST STREET CITY: MARLBOROUGH STATE: MA ZIP: 01752 4 1 doc4.xml FORM 4 SUBMISSION X0303 4 2010-07-26 0 0001132484 NETEZZA CORP NZ 0001404933 Baum James C/O NETEZZA CORPORATION 26 FOREST STREET MARLBOROUGH MA 01752 1 1 0 0 President & CEO Common Stock 2010-07-26 4 M 0 100000 2.50 A 175000 D Common Stock 2010-07-26 4 S 0 100000 16.00 D 75000 D Employee Stock Option (right to buy) 2.50 2010-07-26 4 M 0 100000 0.00 D 2016-08-10 Common Stock 100000 650000 D The sales reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 25, 2010. Represents partial exercise of an option to purchase an aggregate of 1,450,000 shares granted by the issuer pursuant to its 2000 Stock Incentive Plan on August 10, 2006. This option is currently vested as to 1,232,500 shares, and will vest as to 72,500 additional shares on October 1, 2010 and at the end of each successive three-month period thereafter, through and including April 1, 2011. /s/ Corey C. DuFresne (as attorney-in-fact for James Baum) 2010-07-28 -----END PRIVACY-ENHANCED MESSAGE-----