-----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, O222k2qxCW/2MvJF5Ae0u/AVjNldnPHS27B983da4FFlLwJalUxRPJy9hXnSo/oQ q9LeXJbscNCMLhSJjlrgmA== 0000758004-09-000165.txt : 20091124 0000758004-09-000165.hdr.sgml : 20091124 20091124162448 ACCESSION NUMBER: 0000758004-09-000165 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091110 FILED AS OF DATE: 20091124 DATE AS OF CHANGE: 20091124 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Poole Russell C. CENTRAL INDEX KEY: 0001476839 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-13351 FILM NUMBER: 091205116 MAIL ADDRESS: STREET 1: NOVELL, INC. STREET 2: 404 WYMAN STREET, 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: 404 WYMAN STREET, SUITE 500 CITY: WALTHAM STATE: MA ZIP: 02451 BUSINESS PHONE: 8018617000 MAIL ADDRESS: STREET 1: 1800 SOUTH NOVELL PLACE CITY: PROVO STATE: UT ZIP: 84606 3/A 1 edgar.xml PRIMARY DOCUMENT X0203 3/A 2009-11-10 2009-11-17 0 0000758004 NOVELL INC NOVL 0001476839 Poole Russell C. NOVELL, INC. 404 WYMAN STREET, SUITE 500 WALTHAM MA 02451 0 1 0 0 Sr. VP, Human Resources Common Stock 12546 D Common Stock 7222 D Common Stock 2115 D Common Stock 336 D Common Stock 72 D Common Stock 121 D Stock Option (right to buy) 10.68 2012-01-07 Common Stock 9000 D Stock Option (right to buy) 5.55 2013-03-30 Common Stock 6250 D Represents shares of common stock that may be issued upon the vesting of a like number of restricted stock units granted on June 12, 2007. As restricted stock units vest, the vested units are automatically converted to common stock on a one-for-one basis without payment of additional consideration on the vesting date. The restricted stock units will vest in two equal installments on June 12, 2010 and June 12, 2011. Represents shares of common stock that may be issued upon the vesting of a like number of restricted stock units granted on June 3, 2008. As restricted stock units vest, the vested units are automatically converted to common stock on a one-for-one basis without payment of additional consideration on the vesting date. The restricted stock units will vest in three equal installments on June 3, 2010, June 3, 2011 and June 3, 2012. These 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. If the reporting person remains with the company until January 1, 2010, these 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. If the reporting person's service with the company terminates prior to January 1, 2010, these units of phantom stock will be forfeited. If the reporting person remains with the company until January 1, 2011, these 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. If the reporting person's service with the company terminates prior to January 1, 2011, these units of phantom stock will be forfeited. If the reporting person remains with the company until January 1, 2012, these 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. If the reporting person's service with the company terminates prior to January 1, 2012 these units of phantom stock will be forfeited. The option vested 25% on January 7, 2005, and vested 2.0833% monthly thereafter, and is now fully vested. The option vested 25% on March 30, 2006, and vested 2.0833% monthly thereafter, and is now fully vested. /s/ Elspeth Grant Pruett/Attorney-in-fact 2009-11-24 -----END PRIVACY-ENHANCED MESSAGE-----