NOVL » Topics » Item 6. Exhibits

This excerpt taken from the NOVL 10-Q filed Jun 9, 2009.

Item 6. Exhibits

The exhibits listed on the Exhibit Index filed as a part of this Quarterly Report on Form 10-Q are incorporated herein by reference.

 

44


Table of Contents

NOVELL, INC.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

   

Novell, Inc. (Registrant)

 

Date: June 9, 2009

   

By:

 

/s/ DANA C. RUSSELL

 
     

Dana C. Russell

Senior Vice President and Chief Financial Officer

(Principal Financial Officer and Principal Accounting Officer)

 

45


Table of Contents

NOVELL, INC.

EXHIBIT INDEX

The following exhibits are filed as part of this Quarterly Report on Form 10-Q:

 

   

Exhibit

Number

  

Description

      3.2   

By-Laws, as amended and restated June 9, 2009.

    10.1*   

Novell, Inc. 2009 Omnibus Incentive Plan. (1)

    10.2*   

Novell, Inc. 2009 Annual Bonus Program for Executives. (2)

    10.3*   

Form of Indemnification Agreement.

    10.4*   

Form of Amendment to Severance Agreement.

    31.1   

Rule 13a-14(a) Certification.

    31.2   

Rule 13a-14(a) Certification.

    32.1   

18 U.S.C. Section 1350 Certification.

    32.2   

18 U.S.C. Section 1350 Certification.

 

 

*     Indicates management contracts or compensatory plans.

 

(1)  Incorporated by reference to Appendix A of the Registrant’s Definitive Proxy Statement on Schedule 14A, filed February 25, 2009 (File No. 000-13351).

 

(2)  Incorporated by reference to the Registrant’s Current Report on Form 8-K, filed April 13, 2009 (File No. 000-13351).

 

46

This excerpt taken from the NOVL 10-Q filed Mar 11, 2009.

Item 6. Exhibits

The exhibits listed on the Exhibit Index filed as a part of this Quarterly Report on Form 10-Q are incorporated herein by reference.

 

36


Table of Contents

NOVELL, INC.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

   

Novell, Inc. (Registrant)

Date: March 11, 2009

   

By:

 

/s/ DANA C. RUSSELL

   

Dana C. Russell

   

Senior Vice President and Chief Financial Officer

   

(Principal Financial Officer and Principal Accounting Officer)

 

 

 

 

37


Table of Contents

NOVELL, INC.

EXHIBIT INDEX

The following exhibits are filed as part of this Quarterly Report on Form 10-Q:

 

Exhibit

Number

 

Description

3.1   

Certificate of Incorporation. (1)

3.2   

By-Laws, as amended and restated April 10, 2007. (2)

10.1*  

Novell, Inc. fiscal 2009 Annual Bonus Program for Executives. (3)

10.2*  

Novell, Inc. Non-Employee Director Remuneration and Expense Reimbursement Summary.

10.3*  

Novell, Inc. Deferred Compensation Plan (As Amended and Restated, effective January 1, 2005).

10.4*  

Novell, Inc. Stock-Based Deferred Compensation Plan (As Amended and Restated, effective January 1, 2009).

10.5*  

Severance Agreement dated as of February 8, 2007 between the Registrant and John K. Dragoon.

10.6*  

Amendment 2007-1 to Severance Agreement dated as of May 2, 2007 between the Registrant and John K. Dragoon.

10.7*  

Amendment to Severance Agreement dated as of September 15, 2008 between the Registrant and John K. Dragoon.

10.8*  

Severance Agreement dated as of March 25, 2003 between the Registrant and Alan J. Friedman. (4)

10.9*  

Amendment to Severance Agreement dated as of September 15, 2008 between the Registrant and Alan J. Friedman.

  10.10*  

Amendment to Severance Agreement dated as of September 15, 2008 between the Registrant and Ronald W. Hovsepian.

  10.11*  

Amendment to Severance Agreement dated as of September 15, 2008 between the Registrant and Dana C. Russell.

  10.12*  

Amendment to Severance Agreement dated as of September 15, 2008 between the Registrant and Jeffrey M. Jaffe.

31.1    

Rule 13a-14(a) Certification.

31.2    

Rule 13a-14(a) Certification.

32.1    

18 U.S.C. Section 1350 Certification.

32.2    

18 U.S.C. Section 1350 Certification.

 

 

*    

Indicates management contracts or compensatory plans.

 

 

(1) 

Incorporated by reference to Exhibit 3.1 of the Registrant’s Current Report on Form 10-Q, filed for the fiscal quarter ended April 30, 2004 (File No. 000-13351).

 

(2) 

Incorporated by reference to Exhibit 3.2 of the Registrant’s Current Report on Form 8-K, filed April 16, 2007 (File No. 000-13351).

 

(3) 

Incorporated by reference to the Registrant’s Current Report on Form 8-K, filed December 19, 2008 (File No. 000-13351).

 

(4) 

Incorporated by reference to Exhibit 10.16 of the Registrant’s Annual Report on Form 10-K, filed for the fiscal year ended October 31, 2003 (File No. 0-13351).

 

38

This excerpt taken from the NOVL 10-Q filed Sep 8, 2008.

Item  6. Exhibits

The exhibits listed on the Exhibit Index filed as a part of this Quarterly Report on Form 10-Q are incorporated herein by reference.

 

44


Table of Contents

NOVELL, INC.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

 

Novell, Inc. (Registrant)

Date: September 8, 2008

 

By:

 

/s/ DANA C. RUSSELL

 

Dana C. Russell

 

Senior Vice President and Chief Financial Officer

 

(Principal Financial Officer and Principal Accounting Officer)

 

45


Table of Contents

NOVELL, INC.

EXHIBIT INDEX

The following exhibits are filed as part of this Quarterly Report on Form 10-Q:

 

Exhibit

Number

  

Description

 

10.1*   

   Amended Novell, Inc. 2000 Stock Plan
 

10.2*

   Non-Employee Director Remuneration and Expense Reimbursement Summary
 

10.3*

   Stock Option Amendment Agreement with Dana C. Russell
 

10.4*

   Stock Option Amendment Agreement with Susan Heystee
 

31.1

   Rule 13a-14(a) Certification
 

31.2

   Rule 13a-14(a) Certification
 

32.1

   18 U.S.C. Section 1350 Certification
 

32.2

   18 U.S.C. Section 1350 Certification
 

 

 

*       Indicates management contracts or compensatory plans.

 

46

This excerpt taken from the NOVL 10-Q filed Mar 10, 2008.

Item 6. Exhibits

(a) Exhibits

 

Exhibit

Number

 

Description

31.1  

Rule 13a-14(a) Certification

31.2  

Rule 13a-14(a) Certification

32.1  

18 U.S.C. Section 1350 Certification

32.2  

18 U.S.C. Section 1350 Certification

 

35


Table of Contents

NOVELL, INC.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

 

Novell, Inc. (Registrant)

Date:  March 10, 2008

 

By:

 

/s/ DANA C. RUSSELL

 

Dana C. Russell

 

Senior Vice President and Chief Financial Officer

 

(Principal Financial Officer and Principal Accounting Officer)

 

36


Table of Contents

NOVELL, INC.

EXHIBIT INDEX

 

Exhibit

Number

 

Description

31.1  

Rule 13a-14(a) Certification

31.2  

Rule 13a-14(a) Certification

32.1  

18 U.S.C. Section 1350 Certification

32.2  

18 U.S.C. Section 1350 Certification

 

37

This excerpt taken from the NOVL 10-Q filed Jun 8, 2006.
Item 6. Exhibits

 

(a)                   Exhibits

 

Exhibit
Number

 

Description

12.1

 

Computation of Ratio of Earnings to Fixed Charges

 

 

 

31.1

 

Rule 13a-14(a) Certification

 

 

 

31.2

 

Rule 13a-14(a) Certification

 

 

 

32.1

 

18 U.S.C. Section 1350 Certification

 

 

 

32.2

 

18 U.S.C. Section 1350 Certification

 

42



 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

 

Novell, Inc. (Registrant)

 

 

 

 

 

 

Date: June 8, 2006

By:

/s/ JOSEPH S. TIBBETTS, JR.

 

 

Joseph S. Tibbetts, Jr.
Sr. Vice President and Chief Financial Officer
(Principal Financial Officer and Principal
 Accounting Officer)

 

43


This excerpt taken from the NOVL 10-Q filed Mar 10, 2006.
Item 6. Exhibits

 

(a)                   Exhibits

 

Exhibit
Number

 

Description

12.1

 

Computation of Ratio of Earnings to Fixed Charges

 

 

 

31.1

 

Rule 13a-14(a) Certification

 

 

 

31.2

 

Rule 13a-14(a) Certification

 

 

 

32.1

 

18 U.S.C. Section 1350 Certification

 

 

 

32.2

 

18 U.S.C. Section 1350 Certification

 

35



 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

 

Novell, Inc. (Registrant)

 

 

 

 

 

 

Date: March 10, 2006

By:

/s/ JOSEPH S. TIBBETTS, JR.

 

 

Joseph S. Tibbetts, Jr.
Chief Financial Officer
(Principal Financial Officer and Principal Accounting Officer)

 

 

36


This excerpt taken from the NOVL 10-Q filed Sep 8, 2005.

Item 6. Exhibits

 

(a) Exhibits

 

Exhibit
Number


 

Description


12.1   Computation of Ratio of Earnings to Fixed Charges
31.1   Rule 13a-14(a) Certification
31.2   Rule 13a-14(a) Certification
32.1   18 U.S.C. Section 1350 Certification
32.2   18 U.S.C. Section 1350 Certification

 

37


Table of Contents

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

    Novell, Inc. (Registrant)
Date: September 8, 2005   By:  

/s/ JOSEPH S. TIBBETTS, JR.


       

Joseph S. Tibbetts, Jr.

Chief Financial Officer

(Principal Financial Officer and Principal

Accounting Officer)

 

38

This excerpt taken from the NOVL 10-Q filed Jun 8, 2005.

Item 6. Exhibits

 

(a) Exhibits

 

Exhibit
Number


 

Description


12.1   Computation of Ratio of Earnings to Fixed Charges
31.1   Rule 13a-14(a) Certification
31.2   Rule 13a-14(a) Certification
32.1   18 U.S.C. Section 1350 Certification
32.2   18 U.S.C. Section 1350 Certification

 

38


Table of Contents

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

   

Novell, Inc. (Registrant)

Date: June 8, 2005

 

By:

 

/s/ JOSEPH S. TIBBETTS, JR.


       

Joseph S. Tibbetts, Jr.

Chief Financial Officer

(Principal Financial Officer and Principal

Accounting Officer)

 

39

This excerpt taken from the NOVL 10-Q filed Mar 11, 2005.

Item 6. Exhibits

 

(a) Exhibits

 

Exhibit Number


  

Description


10.1

   Separation of Employment Agreement and General Release dated October 29, 2004, between Novell, Inc. and Christopher M. Stone

10.2

   Settlement Agreement dated November 8, 2004 between Novell, Inc. and Microsoft Corporation

10.3

   Severance Agreement dated as of January 26, 2005 between the Registrant and Richard Seibt.

12.1

   Computation of Ratio of Earnings to Fixed Charges

31.1

   Rule 13a-14(a) Certification

31.2

   Rule 13a-14(a) Certification

32.1

   18 U.S.C. Section 1350 Certification

32.2

   18 U.S.C. Section 1350 Certification

 

28


Table of Contents

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

         Novell, Inc. (Registrant)

Date:

   March 11, 2005   By:  

/s/ JOSEPH S. TIBBETTS, JR.


            

Joseph S. Tibbetts, Jr.

Chief Financial Officer

(Principal Financial Officer and Principal

Accounting Officer)

 

29

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