Insider · CIK 0001404933

Baum James

Reports to the SEC for 2 companies · MARLBOROUGH, MA

sec.gov

Transactions

Companies

Filings

CIK

0001404933

Forms 4 and 5

Insider transactions

50 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2017-08-07	ENERNOC INCD Disposition to Issuer	Director	DDisposition to Issuer	−22.3K sh	$7.67	−$171K	0
2017-08-05	ENERNOC INCU Disposition from Tender	Director	UDisposition from Tender	−33.6K sh	$7.67	−$258K	22,250
2017-06-27	ENERNOC INCA Award	Director	AAward	+11.3K sh	—	—	55,863
2016-06-01	ENERNOC INCA Award	Director	AAward	+11K sh	—	—	44,613
2015-05-27	ENERNOC INCA Award	Director	AAward	+12.3K sh	—	—	33,613
2014-02-19	ENERNOC INCA Award	Director	AAward	+6,273 sh	—	—	21,273
2013-04-15	ENERNOC INCA Award	Director	AAward	+15K sh	—	—	15,000
2010-11-10	NETEZZA CORPEmployee Stock Option (right to buy)D Disposition to Issuer	Director, President & CEO	DDisposition to Issuer	−550K sh	$24.50	−$13.5M	0
2010-11-10	NETEZZA CORPD Disposition to Issuer	Director, President & CEO	DDisposition to Issuer	−75K sh	—	—	0
2010-11-10	NETEZZA CORPEmployee Stock Option (right to buy)D Disposition to Issuer	Director, President & CEO	DDisposition to Issuer	−50K sh	$20.30	−$1.02M	0
2010-11-10	NETEZZA CORPEmployee Stock Option (right to buy)D Disposition to Issuer	Director, President & CEO	DDisposition to Issuer	−200K sh	—	—	0
2010-11-10	NETEZZA CORPEmployee Stock Option (right to buy)D Disposition to Issuer	Director, President & CEO	DDisposition to Issuer	−280K sh	—	—	0
2010-08-27	NETEZZA CORPEmployee Stock Option (right to buy)M Exercise/Conversion	Director, President & CEO	MExercise/Conversion	−100K sh	—	—	550,000
2010-08-27	NETEZZA CORPS Sale	Director, President & CEO	SSale	−100K sh	$18.25	−$1.83M	75,000
2010-08-27	NETEZZA CORPM Exercise/Conversion	Director, President & CEO	MExercise/Conversion	+100K sh	$2.50	+$250K	175,000
2010-07-26	NETEZZA CORPEmployee Stock Option (right to buy)M Exercise/Conversion	Director, President & CEO	MExercise/Conversion	−100K sh	—	—	650,000
2010-07-26	NETEZZA CORPM Exercise/Conversion	Director, President & CEO	MExercise/Conversion	+100K sh	$2.50	+$250K	175,000
2010-07-26	NETEZZA CORPS Sale	Director, President & CEO	SSale	−100K sh	$16.00	−$1.6M	75,000
2010-04-15	NETEZZA CORPEmployee Stock Option (right to buy)M Exercise/Conversion	Director, President & CEO	MExercise/Conversion	−100K sh	—	—	750,000
2010-04-15	NETEZZA CORPM Exercise/Conversion	Director, President & CEO	MExercise/Conversion	+100K sh	$2.50	+$250K	175,000
2010-04-15	NETEZZA CORPS Sale	Director, President & CEO	SSale	−100K sh	$14.00	−$1.4M	75,000
2010-03-08	NETEZZA CORPA Award	Director, President & CEO	AAward	+75K sh	—	—	75,000
2009-12-01	NETEZZA CORPEmployee Stock Option (right to buy)M Exercise/Conversion	Director, President & CEO	MExercise/Conversion	−10K sh	—	—	850,000
2009-12-01	NETEZZA CORPM Exercise/Conversion	Director, President & CEO	MExercise/Conversion	+10K sh	$2.50	+$25K	10,000
2009-12-01	NETEZZA CORPS Sale	Director, President & CEO	SSale	−10K sh	$10.33	−$103K	0
2009-11-02	NETEZZA CORPEmployee Stock Option (right to buy)M Exercise/Conversion	Director, President & CEO	MExercise/Conversion	−10K sh	—	—	860,000
2009-11-02	NETEZZA CORPM Exercise/Conversion	Director, President & CEO	MExercise/Conversion	+10K sh	$2.50	+$25K	10,000
2009-11-02	NETEZZA CORPS Sale	Director, President & CEO	SSale	−10K sh	$9.17	−$91.7K	0
2009-10-01	NETEZZA CORPS Sale	Director, President & CEO	SSale	−10K sh	$10.70	−$107K	0
2009-10-01	NETEZZA CORPEmployee Stock Option (right to buy)M Exercise/Conversion	Director, President & CEO	MExercise/Conversion	−10K sh	—	—	870,000
2009-10-01	NETEZZA CORPM Exercise/Conversion	Director, President & CEO	MExercise/Conversion	+10K sh	$2.50	+$25K	10,000
2009-09-01	NETEZZA CORPEmployee Stock Option (right to buy)M Exercise/Conversion	Director, President & CEO	MExercise/Conversion	−5,000 sh	—	—	880,000
2009-09-01	NETEZZA CORPM Exercise/Conversion	Director, President & CEO	MExercise/Conversion	+5,000 sh	$2.50	+$12.5K	5,000
2009-09-01	NETEZZA CORPS Sale	Director, President & CEO	SSale	−5,000 sh	$9.36	−$46.8K	0
2009-08-20	NETEZZA CORPM Exercise/Conversion	Director, President & CEO	MExercise/Conversion	+100K sh	$2.50	+$250K	100,000
2009-08-20	NETEZZA CORPS Sale	Director, President & CEO	SSale	−100K sh	$10.00	−$1M	0
2009-08-20	NETEZZA CORPEmployee Stock Option (right to buy)M Exercise/Conversion	Director, President & CEO	MExercise/Conversion	−100K sh	—	—	885,000
2009-08-03	NETEZZA CORPM Exercise/Conversion	Director, President & CEO	MExercise/Conversion	+5,000 sh	$2.50	+$12.5K	5,000
2009-08-03	NETEZZA CORPS Sale	Director, President & CEO	SSale	−5,000 sh	$8.97	−$44.9K	0
2009-08-03	NETEZZA CORPEmployee Stock Option (right to buy)M Exercise/Conversion	Director, President & CEO	MExercise/Conversion	−5,000 sh	—	—	985,000
2009-07-01	NETEZZA CORPS Sale	Director, President & CEO	SSale	−5,000 sh	$8.31	−$41.6K	0
2009-07-01	NETEZZA CORPM Exercise/Conversion	Director, President & CEO	MExercise/Conversion	+5,000 sh	$2.50	+$12.5K	5,000
2009-07-01	NETEZZA CORPEmployee Stock Option (right to buy)M Exercise/Conversion	Director, President & CEO	MExercise/Conversion	−5,000 sh	—	—	990,000
2009-06-01	NETEZZA CORPS Sale	Director, President & CEO	SSale	−5,000 sh	$7.00	−$35K	0
2009-06-01	NETEZZA CORPEmployee Stock Option (right to buy)M Exercise/Conversion	Director, President & CEO	MExercise/Conversion	−5,000 sh	—	—	1,045,000
2009-06-01	NETEZZA CORPM Exercise/Conversion	Director, President & CEO	MExercise/Conversion	+5,000 sh	$2.50	+$12.5K	5,000
2009-03-09	NETEZZA CORPEmployee Stock Option (right to buy)A Award	Director, President & CEO	AAward	+280K sh	—	—	280,000
2008-05-14	NETEZZA CORPM Exercise/Conversion	Director, President & CEO	MExercise/Conversion	+107K sh	$2.50	+$267K	106,945
2008-05-14	NETEZZA CORPS Sale	Director, President & CEO	SSale	−100K sh	$11.00	−$1.1M	0
2008-05-14	NETEZZA CORPS Sale	Director, President & CEO	SSale	−107K sh	$11.00	−$1.18M	0

Recent filings

Accepted (ET)
Aug 74
Baum James0001244937-17-000093
SEC(opens sec.gov)
Jun 294
ENERNOC INC0001244937-17-000064
SEC(opens sec.gov)
Jun 34
ENERNOC INC0001179110-16-025969
SEC(opens sec.gov)
May 294
ENERNOC INC0001179110-15-008752
SEC(opens sec.gov)
Feb 214
ENERNOC INC0001179110-14-003391
SEC(opens sec.gov)
Apr 164
Baum James0001179110-13-006860
SEC(opens sec.gov)
Nov 124
Baum James0001209191-10-054812
SEC(opens sec.gov)
Aug 314
Baum James0001209191-10-044601
SEC(opens sec.gov)
Jul 284
Baum James0001209191-10-039906
SEC(opens sec.gov)
Apr 164
Baum James0001209191-10-022578
SEC(opens sec.gov)

Companies

Address

C/O NETEZZA CORPORATION 26 FOREST STREET

MARLBOROUGH, MA, 01752