o | Rule 13d-1(b) | ||
o | Rule 13d-1(c) | ||
þ | Rule 13d-1(d) |
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 | -4,279,345-2 | ||||
SHARES | 6. | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | | ||||
EACH | 7. | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | -4,279,345-2 | ||||
WITH: | 8. | SHARED DISPOSITIVE POWER | |||
| |||||
9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
-4,279,345-2 | |||||
10. | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
11. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
7.04%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 4,279,345 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 60,818,735 shares of the Issuers common stock outstanding as of December 31, 2009. |
Page 2 of 12 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 | -1,427,647-5 | ||||
SHARES | 6. | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | | ||||
EACH | 7. | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | -1,427,647-5 | ||||
WITH: | 8. | SHARED DISPOSITIVE POWER | |||
| |||||
9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
-1,427,647-5 | |||||
10. | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
11. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
2.35%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 1,427,647 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 60,818,735 shares of the Issuers common stock outstanding as of December 31, 2009. |
Page 3 of 12 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 | -478,280-8 | ||||
SHARES | 6. | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | | ||||
EACH | 7. | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | -478,280-8 | ||||
WITH: | 8. | SHARED DISPOSITIVE POWER | |||
| |||||
9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
-478,280-8 | |||||
10. | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
11. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
0.79%9 | |||||
12. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
PN |
7 | This Schedule 13G is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a group for purposes of this Schedule 13G. | |
8 | Represents 478,280 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 60,818,735 shares of the Issuers common stock outstanding as of December 31, 2009. |
Page 4 of 12 pages
CUSIP No. |
64111N 10 1 |
1. | NAMES 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 | -6,185,272-11 | ||||
SHARES | 6. | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | | ||||
EACH | 7. | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | -6,185,272-11 | ||||
WITH: | 8. | SHARED DISPOSITIVE POWER | |||
| |||||
9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
-6,185,272-11 | |||||
10. | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
11. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
10.17%12 | |||||
12. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
OO |
10 | This Schedule 13G is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a group for purposes of this Schedule 13G. | |
11 | Includes 6,185,272 shares held by the Matrix VI Entities (4,279,345 shares held by Matrix VI, 1,427,647 shares held by Parallel A, and 478,280 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 60,818,735 shares of the Issuers common stock outstanding as of December 31, 2009. |
Page 5 of 12 pages
CUSIP No. |
64111N 10 1 |
1. | NAMES 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 | -6,610,920-14 | ||||
SHARES | 6. | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | | ||||
EACH | 7. | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | -6,610,920-14 | ||||
WITH: | 8. | SHARED DISPOSITIVE POWER | |||
| |||||
9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
-6,610,920-14 | |||||
10. | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
11. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
10.87%15 | |||||
12. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
IN |
13 | This Schedule 13G is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a group for purposes of this Schedule 13G. | |
14 | Includes 4,279,345 shares held by Matrix VI, 1,427,647 shares held by Parallel A, 478,280 shares held by Parallel B); and 347,083 shares held by Matrix Partners VIII, L.P. (Matrix VIII) and the following holdings of Ferri: 36,447 shares of Common Stock (Ferri Shares), and 4,618 shares of Restricted Common Stock (Ferri Restricted Shares) and options to purchase 37,500 shares of common stock (exercisable on or within 60 days of the Date of Event of this Schedule 13G filing) held by Ferri (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, the Matrix VIII shares, the Ferri 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. |
Page 6 of 12 pages
CUSIP No. |
64111N 10 1 |
Item 1(a)
|
Name of Issuer: | |||
Netezza Corporation | ||||
Item 1(b)
|
Address of Issuers 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: |
15 | This percentage is calculated based upon 60,818,735 shares of the Issuers common stock outstanding as of December 31, 2009. |
Page 7 of 12 pages
CUSIP No. |
64111N 10 1 |
As of December 31, 2009: (i) Matrix VI was the record holder of 4,279,345 shares of Common Stock (the Matrix VI Shares); (ii) Parallel A was the record holder of 1,427,647 shares of Common Stock (the Parallel A Shares); (iii) Parallel B was the record holder of 478,280 shares of Common Stock (the Parallel B Shares); (iv) Matrix VI MC was the record holder of 0 shares of Common Stock (Matrix VI MC Shares); (v) Matrix VIII was the record holder of 347,083 shares of Common Stock (Matrix VIII shares); (vi) Matrix VIII US MC was the record holder of 0 shares of Common Stock (Matrix VIII US MC Shares); and (vii) Ferri was the record holder of 36,447 shares of Common Stock (the Ferri Shares), 4,618 shares of Restricted Common Stock (the Ferri Restricted Shares) and the holder of options to purchase 37,500 shares of Common Stock (the Ferri Options) exercisable on or within 60 days of the Date of Event for this Schedule 13G filing. | ||
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; and Matrix VIII US MC, as general partner of Matrix VIII, has sole voting and dispositive power of the Matrix VIII 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; and as a managing member of Matrix VIII US MC, has sole voting and dispositive power of the Matrix VIII shares. Ferri has sole power to vote and/or dispose of the Ferri Shares and the Ferri Options. |
(b) | Percent of Class: |
Matrix VI: |
7.04 | % | ||
Parallel A: |
2.35 | % | ||
Parallel
B: |
0.79 | % | ||
Matrix VI MC: |
10.17 | % | ||
Ferri: |
10.87 | % |
(c) | Number of Shares as to which the Person has: |
NUMBER OF SHARES | ||||||||||||||||
Reporting Person | (i) | (ii) | (iii) | (iv) | ||||||||||||
Matrix VI |
4,279,345 | 0 | 4,279,345 | 0 | ||||||||||||
Parallel A |
1,427,647 | 0 | 1,427,647 | 0 | ||||||||||||
Parallel B |
478,280 | 0 | 478,280 | 0 | ||||||||||||
Matrix VI MC |
6,185,272 | 0 | 6,185,272 | 0 | ||||||||||||
Ferri |
6,610,920 | 0 | 6,610,920 | 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 [ ]. |
Page 8 of 12 pages
CUSIP No. |
64111N 10 1 |
Item 6
|
Ownership of More than Five Percent on Behalf of Another Person: | |
Not applicable. |
Page 9 of 12 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 10 of 12 pages
CUSIP No. |
64111N 10 1 |
Matrix Partners VI, L.P. | ||||||||
By: | Matrix VI Management Co., L.L.C., Its General Partner | |||||||
By: | /s/ Timothy A. Barrows | |||||||
Matrix VI Parallel Partnership-A, L.P. | ||||||||
By: | Matrix VI Management Co., L.L.C., Its General Partner | |||||||
By: | /s/ Timothy A. Barrows | |||||||
Timothy A. Barrows, Authorized Member | ||||||||
Matrix VI Parallel Partnership-B, L.P. | ||||||||
By: | Matrix VI Management Co., L.L.C. , Its General Partner | |||||||
By: | /s/ Timothy A. Barrows | |||||||
Timothy A. Barrows, Authorized Member | ||||||||
Matrix VI Management Co., L.L.C. | ||||||||
By: | /s/ Timothy A. Barrows | |||||||
Timothy A. Barrows, Authorized Member | ||||||||
/s/ Paul J. Ferri | ||||||||
Paul J. Ferri |
Page 11 of 12 pages
CUSIP No. |
64111N 10 1 |
Matrix Partners VI, L.P. | ||||||||
By: | Matrix VI Management Co., L.L.C., Its General Partner | |||||||
By: | /s/ Timothy A. Barrows | |||||||
Matrix VI Parallel Partnership-A, L.P. | ||||||||
By: | Matrix VI Management Co., L.L.C., Its General Partner | |||||||
By: | /s/ Timothy A. Barrows | |||||||
Timothy A. Barrows, Authorized Member | ||||||||
Matrix VI Parallel Partnership-B, L.P. | ||||||||
By: | Matrix VI Management Co., L.L.C., Its General Partner | |||||||
By: | /s/ Timothy A. Barrows | |||||||
Timothy A. Barrows, Authorized Member | ||||||||
Matrix VI Management Co., L.L.C. | ||||||||
By: | /s/ Timothy A. Barrows | |||||||
Timothy A. Barrows, Authorized Member | ||||||||
/s/ Paul J. Ferri | ||||||||
/s/ Paul J. Ferri | ||||||||
Paul J. Ferri |
Page 12 of 12 pages