-----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, Bx8L8vqbe4wt01am2f1BEFE/UUcKudjk5bhRU2vD6y+1QPFMbGVFhWnJeedDGAdO 5mid7nalPqk4VaRkfGu9IA== 0000758004-09-000039.txt : 20090323 0000758004-09-000039.hdr.sgml : 20090321 20090323130401 ACCESSION NUMBER: 0000758004-09-000039 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090130 FILED AS OF DATE: 20090323 DATE AS OF CHANGE: 20090323 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: 1800 SOUTH NOVELL PLACE CITY: PROVO STATE: UT ZIP: 84606 BUSINESS PHONE: 8018617000 MAIL ADDRESS: STREET 1: 1800 SOUTH NOVELL PLACE CITY: PROVO STATE: UT ZIP: 84606 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DRAGOON JOHN CENTRAL INDEX KEY: 0001230472 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-13351 FILM NUMBER: 09698297 MAIL ADDRESS: STREET 1: 404 WYMAN STREET STREET 2: SUITE 500 CITY: WALTHAM STATE: MA ZIP: 02451 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2009-01-30 0000758004 NOVELL INC NOVL 0001230472 DRAGOON JOHN 404 WYMAN STREET, SUITE 500 WALTHAM MA 02451 0 1 0 0 Sr VP & Chief Mktg Officer Phantom Stock 2009-01-30 4 A 0 6756.757 3.70 A Common Stock 6756.757 6756.757 D Phantom Stock 2009-01-30 4 A 0 1689.189 0 A Common Stock 1689.189 1689.189 D On January 30, 2009, the reporting person acquired 6,756.757 units of phantom stock under the Novell, Inc. Stock-based Deferred Compensation Plan at a price of $3.70 per unit in lieu of a bonus payment of $25,000. The units of phantom stock will be converted into an equal number of shares of Novell common stock upon the reporting person's termination of service with the company. Each unit of phantom stock is the economic equivalent of one share of Novell common stock. Fractional units will be rounded up to a whole number of shares. In connection with the acquisition of the units of phantom stock referenced in footnote (1) above, the issuer issued the reporting person 1,689.189 match units of phantom stock according to the terms of the Novell, Inc. Stock-based Deferred Compensation Plan. Should the reporting person remain with the company until January 1, 2015, the units of phantom stock will be converted into an equal number of shares of Novell common stock upon the reporting person's termination of service from the company. Should the reporting person's service with the company terminate prior to January 1, 2015, the units of phantom stock will be forfeited. /s/ Elspeth Grant Pruett/Attorney-in-fact 2009-03-23 -----END PRIVACY-ENHANCED MESSAGE-----