-----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, BpN5cvVll9VMsoj+nYkmXpVQsMXYOprwNhB7fp+chMR9Lb2qqaKYRAcS82lCrmZf bjsmrWhmDx9Al9/C5zVweA== 0000758004-09-000051.txt : 20090407 0000758004-09-000051.hdr.sgml : 20090407 20090407120626 ACCESSION NUMBER: 0000758004-09-000051 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090406 FILED AS OF DATE: 20090407 DATE AS OF CHANGE: 20090407 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROBINSON JAMES D III CENTRAL INDEX KEY: 0001065180 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-13351 FILM NUMBER: 09736877 MAIL ADDRESS: STREET 1: 404 WYMAN STREET STREET 2: 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: 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 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2009-04-06 1 0000758004 NOVELL INC NOVL 0001065180 ROBINSON JAMES D III 404 WYMAN STREET, SUITE 500 WALTHAM MA 02451 1 0 0 0 Common Stock 2009-04-06 4 M 0 4545 A 39296 D Common Stock 2009-04-06 4 M 0 1136 A 40432 D Common Stock 2009-04-06 4 M 0 3472 A 43904 D Common Stock 2009-04-06 4 M 0 868 A 44772 D Common Stock 2009-04-06 4 M 0 2129 A 46901 D Common Stock 2009-04-06 4 M 0 532 A 47433 D Common Stock 2009-04-06 4 M 0 985 A 48418 D Common Stock 2009-04-06 4 M 0 246 A 48664 D Common Stock 2009-04-06 4 M 0 1827 A 50491 D Common Stock 2009-04-06 4 M 0 456 A 50947 D Common Stock 2009-04-06 4 M 0 1738 A 52685 D Common Stock 2009-04-06 4 M 0 434 A 53119 D Common Stock 2009-04-06 4 M 0 2166 A 55285 D Common Stock 2009-04-06 4 M 0 541 A 55826 D Common Stock 2009-04-06 4 M 0 2115 A 57941 D Common Stock 2009-04-06 4 M 0 528 A 58469 D Common Stock 2009-04-06 4 M 0 2055 A 60524 D Common Stock 2009-04-06 4 M 0 513 A 61037 D Common Stock 2009-04-06 4 M 0 1640 A 62677 D Common Stock 2009-04-06 4 M 0 410 A 63087 D Common Stock 2009-04-06 4 M 0 1283 A 64370 D Common Stock 2009-04-06 4 M 0 320 A 64690 D Common Stock Equivalent 2009-04-06 4 M 0 4545 2.75 D 2009-04-06 2009-04-06 Common Stock 4545 0 D Common Stock Equivalent 2009-04-06 4 M 0 1136 0 D 2009-04-06 2009-04-06 Common Stock 1136 0 D Common Stock Equivalent 2009-04-06 4 M 0 3472 3.60 D 2009-04-06 2009-04-06 Common Stock 3472 0 D Common Stock Equivalent 2009-04-06 4 M 0 868 0 D 2009-04-06 2009-04-06 Common Stock 868 0 D Common Stock Equivalent 2009-04-06 4 M 0 2129 5.87 D 2009-04-06 2009-04-06 Common Stock 2129 0 D Common Stock Equivalent 2009-04-06 4 M 0 532 0 D 2009-04-06 2009-04-06 Common Stock 532 0 D Common Stock Equivalent 2009-04-06 4 M 0 985 12.68 D 2009-04-06 2009-04-06 Common Stock 985 0 D Common Stock Equivalent 2009-04-06 4 M 0 246 0 D 2009-04-06 2009-04-06 Common Stock 246 0 D Common Stock Equivalent 2009-04-06 4 M 0 1827 6.84 D 2009-04-06 2009-04-06 Common Stock 1827 0 D Common Stock Equivalent 2009-04-06 4 M 0 456 0 D 2009-04-06 2009-04-06 Common Stock 456 0 D Common Stock Equivalent 2009-04-06 4 M 0 1738 7.19 D 2009-04-06 2009-04-06 Common Stock 1738 0 D Common Stock Equivalent 2009-04-06 4 M 0 434 0 D 2009-04-06 2009-04-06 Common Stock 434 0 D Common Stock Equivalent 2009-04-06 4 M 0 2166 5.77 D 2009-04-06 2009-04-06 Common Stock 2166 0 D Common Stock Equivalent 2009-04-06 4 M 0 541 0 D 2009-04-06 2009-04-06 Common Stock 541 0 D Common Stock Equivalent 2009-04-06 4 M 0 2115 5.91 D 2009-04-06 2009-04-06 Common Stock Equivalent 2115 0 D Common Stock Equivalent 2009-04-06 4 M 0 528 0 D 2009-04-06 2009-04-06 Common Stock 528 0 D Common Stock Equivalent 2009-04-06 4 M 0 2055 6.08 D 2009-04-06 2009-04-06 Common Stock 2055 0 D Common Stock Equivalent 2009-04-06 4 M 0 513 0 D 2009-04-06 2009-04-06 Common Stock 513 0 D Common Stock Equivalent 2009-04-06 4 M 0 1640 7.62 D 2009-04-06 2009-04-06 Common Stock 1640 0 D Common Stock Equivalent 2009-04-06 4 M 0 410 0 D 2009-04-06 2009-04-06 Common Stock 410 0 D Common Stock Equivalent 2009-04-06 4 M 0 1283 9.74 D 2009-04-06 2009-04-06 Common Stock 1283 0 D Common Stock Equivalent 2009-04-06 4 M 0 320 0 D 2009-04-06 2009-04-06 Common Stock 320 0 D On May 1, 2003, the reporting person acquired 4,545 common stock equivalents under the Novell 2000 Stock Plan at a price of $2.75 per common stock equivalent in lieu of a Board retainer of $12,500. Pursuant to the election of the reporting person, such common stock equivalents were converted to common stock upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. In connection with the acquisition of the common stock equivalents referenced in footnote (1) above, the issuer issued the reporting person 1,136 match common stock equivalents that, according to the terms of the Novell 2000 Stock Plan and pursuant to the election of the reporting person, vested upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. On August 1, 2003, the reporting person acquired 3,472 common stock equivalents under the Novell 2000 Stock Plan at a price of $3.60 per common stock equivalent in lieu of a Board retainer of $12,500. Pursuant to the election of the reporting person, such common stock equivalents were converted to common stock upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. In connection with the acquisition of the common stock equivalents referenced in footnote (3) above, the issuer issued the reporting person 868 match common stock equivalents that, according to the terms of the Novell 2000 Stock Plan and pursuant to the election of the reporting person, vested upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. On November 3, 2003, the reporting person acquired 2,129 common stock equivalents under the Novell 2000 Stock Plan at a price of $5.87 per common stock equivalent in lieu of a Board retainer of $12,500. Pursuant to the election of the reporting person, such common stock equivalents were converted to common stock upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. In connection with the acquisition of the common stock equivalents referenced in footnote (5) above, the issuer issued the reporting person 532 match common stock equivalents that, according to the terms of the Novell 2000 Stock Plan and pursuant to the election of the reporting person, vested upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. On February 1, 2004, the reporting person acquired 985 common stock equivalents under the Novell 2000 Stock Plan at a price of $12.68 per common stock equivalent in lieu of a Board retainer of $12,500. Pursuant to the election of the reporting person, such common stock equivalents were converted to common stock upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. In connection with the acquisition of the common stock equivalents referenced in footnote (7) above, the issuer issued the reporting person 246 match common stock equivalents that, according to the terms of the Novell 2000 Stock Plan and pursuant to the election of the reporting person, vested upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. On August 2, 2004, the reporting person acquired 1,827 common stock equivalents under the Novell 2000 Stock Plan at a price of $6.84 per common stock equivalent in lieu of a Board retainer of $12,500. Pursuant to the election of the reporting person, such common stock equivalents were converted to common stock upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. In connection with the acquisition of the common stock equivalents referenced in footnote (9) above, on the issuer issued the reporting person 456 match common stock equivalents that, according to the terms of the Novell 2000 Stock Plan and pursuant to the election of the reporting person, vested upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. On November 1, 2004, the reporting person acquired 1,738 common stock equivalents under the Novell 2000 Stock Plan at a price of $7.19 per common stock equivalent in lieu of a Board retainer of $12,500. Pursuant to the election of the reporting person, such common stock equivalents were converted to common stock upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. In connection with the acquisition of the common stock equivalents referenced in footnote (11) above, the issuer issued the reporting person 434 match common stock equivalents that, according to the terms of the Novell 2000 Stock Plan and pursuant to the election of the reporting person, vested upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. On February 1, 2005, the reporting person acquired 2,166 common stock equivalents under the Novell 2000 Stock Plan at a price of $5.77 per common stock equivalent in lieu of a Board retainer of $12,500. Pursuant to the election of the reporting person, such common stock equivalents were converted to common stock upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. In connection with the acquisition of the common stock equivalents referenced in footnote (13) above, the issuer issued the reporting person 541 match common stock equivalents that, according to the terms of the Novell 2000 Stock Plan and pursuant to the election of the reporting person, vested upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. On May 2, 2005, the reporting person acquired 2,115 common stock equivalents under the Novell 2000 Stock Plan at a price of $5.91 per common stock equivalent in lieu of a Board retainer of $12,500. Pursuant to the election of the reporting person, such common stock equivalents were converted to common stock upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. In connection with the acquisition of the common stock equivalents referenced in footnote (15) above, the issuer issued the reporting person 528 match common stock equivalents that, according to the terms of the Novell 2000 Stock Plan and pursuant to the election of the reporting person, vested upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. On August 1, 2005, the reporting person acquired 2,055 common stock equivalents under the Novell 2000 Stock Plan at a price of $6.08 per common stock equivalent in lieu of a Board retainer of $12,500. Pursuant to the election of the reporting person, such common stock equivalents were converted to common stock upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. In connection with the acquisition of the common stock equivalents referenced in footnote (17) above, the issuer issued the reporting person 513 match common stock equivalents that, according to the terms of the Novell 2000 Stock Plan and pursuant to the election of the reporting person, vested upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. On November 1, 2005, the reporting person acquired 1,640 common stock equivalents under the Novell 2000 Stock Plan at a price of $7.62 per common stock equivalent in lieu of a Board retainer of $12,500. Pursuant to the election of the reporting person, such common stock equivalents were converted to common stock upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. In connection with the acquisition of the common stock equivalents referenced in footnote (19) above, the issuer issued the reporting person 410 match common stock equivalents that, according to the terms of the Novell 2000 Stock Plan and pursuant to the election of the reporting person, vested upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. On February 1, 2006, the reporting person acquired 1,283 common stock equivalents under the Novell 2000 Stock Plan at a price of $9.74 per common stock equivalent in lieu of a Board retainer of $12,500. Pursuant to the election of the reporting person, such common stock equivalents were converted to common stock upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. In connection with the acquisition of the common stock equivalents referenced in footnote (21) above, the issuer issued the reporting person 320 match common stock equivalents that, according to the terms of the Novell 2000 Stock Plan and pursuant to the election of the reporting person, vested upon the reporting person's retirement from Novell's Board of Directors on April 6, 2009. Each common stock equivalent is the economic equivalent of one share of Novell common stock. Upon retirement from Novell's Board of Directors, the reporting person's common stock equivalents were settled for an equal number of shares of Novell common stock in accordance with the Novell 2000 Stock Plan. One of two Forms 4 filed on this date. /s/ Elspeth Grant Pruett/Attorney-in-fact 2009-04-07 -----END PRIVACY-ENHANCED MESSAGE-----